Governance Self-Assessment Guidance Document

Supported by:

C40 CITIES CLIMATE LEADERSHIP GROUP The C40 Cities Climate Leadership Group, now in its 14th year, connects 90+ of the world’s greatest cities which have committed to tackling climate change. We bring mayors from around the world together to learn from each other in reducing greenhouse gas emissions and creating resilient, sustainable and inclusive cities. C40 cities represent more than 700 million urban citizens and their economies account for 25% of global GDP. Our ‘Deadline 2020’ report sets out the critical role that the world’s major cities have to play in delivering the historic Paris Agreement to prevent catastrophic climate change.

C40 TEAM Katherine Maxwell, Michael Doust, Anna Jönsson, Max Jamieson, Julia Lipton, Tanya Muller Garcia, Emilie Hvidtfeldt, Chantal Oudkerk Pool, Fernanda Barbosa, Inés Lockhart, Marvin Lagonera, Mehrnaz Ghojeh and Paul Jorgensen.

OXFORD POLICY MANAGEMENT Elizabeth Gogoi, Arif Pervaiz, Rishika Das Roy, Madhavi Rajadhyaksha and Shantanu Mishra.

CONTACT FOR THIS REPORT [email protected]

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CONTENTS

INTRODUCTION 4

GOVERNANCE SELF-ASSESSMENT GUIDANCE 7

GOOD PRACTICE ON STRENGTHENING GOVERNANCE 11

CONCLUSION 24

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INTRODUCTION

INTRODUCTION 4

INTRODUCTION

The aim of this guidance document is to support cities to strengthen the development and implementation of their Climate Action Plans (CAPs) through better climate governance. It provides guidance on completing the ‘C40 Governance Self-Assessment’ which is designed to assist cities in identifying specific gaps and opportunities in their climate governance. It also offers practical learning from literature and global experience to enable cities to establish or strengthen the necessary governance arrangements for effective implementation and mainstreaming of the CAP.

What is climate governance: Governance refers to the formal and informal rules and power dynamics that influence decision making processes. Climate governance specifically refers to the formal and informal rules, structures, processes and systems which define and influence policy and action on climate change. The ‘C40 Governance Self-Assessment’ and this guidance document are built around a set of good climate governance principles, identified through expert interviews, an extensive literature review on climate governance, as well as a review of relevant C40 climate action planning materials and reports. There are three broad interelated sets of governance principles that summarise the most critical elements of climate governance for supporting the effective implementation of the climate action plan (CAP), these are detailed below and illustrated in Figure 1 on next page:

Policy Framework: The CAP sets out the city’s vision and objectives for ambitious action on climate change, in line with the Paris Agreement. To be implemented effectively, the CAP requires a supportive legal framework, such as a set of accompanying laws (e.g. acts, bylaws), targets and processes which bind the city to their commitments in the plan. This holds the city accountable to their citizens for these commitments and provides adequate avenues to implement the actions outlined in the plan. Government structure and processes: The CAP relies on effective and supportive city level institutions, such as the individuals and agencies governing the city, as well as wider civil society and private sector actors. There are three core functions that city institutions need to fulfil: authorising climate action, to mandate institutions with responsibilities to deliver the CAP and hold these institutions to account; resourcing climate action, to provide the necessary information, trained staff, finance and partnerships that will deliver the CAP; and delivering climate action, to convene and incentivise those responsible for implementation. Enabling conditions: The wider context or enabling environment can help or hinder the implementation of the CAP. This includes the strength of the political leadership, but also more subtle factors such as the social, political and cultural norms, values or political ideologies which are specific to a location.

These governance principles are informed by, and aligned with, the ’10 Key Categories for Good Climate Governance’, based on case studies from nine C40 cities: Delhi, Durban, Jakarta, Johannesburg, Los Angeles, Lima, Oslo, Rio de Janeiro and Qingdao, described in the C40 report 'Good Climate Governance In Practice’.

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Figure 1. Good climate governance principles

How to use this guidance document: This guidance document is intended to be read and used while completing the ‘C40 Governance Self-Assessment’. It provides a step-by -step guide on how to use the resource and provides recommendations and suggestions on practical ways to strengthen climate governance within each city and how

to address governance within the CAP. The results are intended to be used by cities to identify immediate and longer-term actions to either mitigate risk or exploit opportunities for CAP implementation.

The primary audience for this document is C40 cities and internal stakeholders. However, the document is also relevant to other cities and a wide array of external stakeholders who engage with climate planning in cities.

The guidance document builds on and consolidates the governance elements of various other C40 tools and

documents which support the CAP development process, in particular, the Strategic Appraisal, the Vertically Integrated Action Tool (VIA Tool) and the City Climate Action Planning MER Guidance Document.

The structure of the guidance document: This guidance document is structured into three governance dimensions: policy framework, government structure and processes, and enabling conditions. The latter

governance dimensions include political leadership; thus, it is not mentioned as a separate principle in itself although it is a critical aspect of CAP governance. Political leadership in this resource focuses on the need for sustained leadership and ownership over time (and not on political leadership to initiate the process).

Policy Framework: The CAP sets out the city’s vision and objectives for ambitious action on climate change, in line with the Paris Agreement. To be implemented effectively, it needs a supportive legal framework, meaning a set of accompanying laws (e.g., acts, bylaws), targets and processes which bind the city to their commitments in the plan, holds the city accountable to their citizens for these commitments, and provides adequate avenues to implement the actions outlined in the plan. 6 Government structure and processes: The CAP relies on effective and supportive city level institutions, meaning the individuals and agencies governing the city, as well as wider civil society and private sector actors. There are three core functions that city institutions need to fulfil: authorising climate action, to mandate institutions with

GOVERNANCE SELF-ASSESMENT GUIDANCE

CAP GOVERNANCE 7 SELF-ASSESMENT

GOVERNANCE SELF-

ASSESSMENT GUIDANCE

This section offers step-by-step guidance on completing the ‘C40 Governance Self-Assessment’. This resource is designed to be straightforward for cities to use with minimal or no external support requiredCAP. This GOVERNANCE section focuses on the process and SELF steps for completing- the self-assessment, while the following section gives explanation on the terms usedASSESSMENT and provides strategic guidance GUIDANCE on how to approach the task. The guidance is written for cities carrying out the self-assessment as part of the CAP process, but the process is flexible and can be adapted and used by others.

1.1 City, regional and national policy frameworks which make binding the CAP The objectives of the self-assessment: The ‘C40 on progress as the CAP is implemented. Governance commitmentsGovernance SelfThis-Assessment’ section isoffers designed step to- by aid-step by guidance its very definition on completingis a dynamic process the and‘CAP the self- Governancedecision-makers andSelf key-Assessment’. stakeholders to reflectThis resourceand assessment is designed will offer to abe glimpse simple of and the status of straightforwardanalyse the status of climateto use governance by cities, in theirwith city no orclimate minimal governance external at the support. time of analysis.This When in a systematic manner when developing and making decisions based on the assessment, cities sectiondelivering focuses their CAP. on This the includes process the and following steps shouldfor completing therefore be mindfulthe self that- the situation might assessment,objectives: while the following section giveschange explanation (e.g. the level on of politicalthe terms commitment used to climate change might shift over time). It is To identify potential climate governance and provides strategic guidance on how torecommended approach the that task. the city The conducts guidance the self- challenges and opportunities for effective is written for C40 cities carrying out the selfassessment-assessment periodically as to part identify of anythe changes CAP that implementation of the CAP, to inform both the could have an impact on CAP implementation. process,design and but delivery the process of the plan; is flexible and can be adapted and used by others. Completing the self-assessment is expected to take a To develop priority or immediate actions that can  few sessions over multiple days, although this will 1.1be City, taken regionalto address andchallenges national or exploit policy frameworks which make binding the CAP likely be spread out over a few weeks to allow for opportunities, as well as longer term actions for commitments additional consultation and gathering of evidence. strengthening climate governance; The policy framework (meaning laws/acts, targets, regulationsHow toetc) prepare within the for city, the but self also-assessmen at the regionalt: The self -  To enable a city to track its climate governance assessment resource covers a set of good climate and parametersnational levels, over should time. help bind a city to implementing the CAP. These should make it difficult for the city to flout the commitments and targets, or for the futuregovernance city leadership principles to which reverse are or critical ignore forthem. urban AmbitionWho sho shoulduld carry be binding out the and self have-assessmen longevityt: beyondIt is theclimate political governance, term (but not particularly necessarily in beyond the context the of actionsexpected themselves). that the self - Thisassessment is particularly will be importantcarried out when formu the lating CAP exceeds and implementing the level of a ambitiCAP. Whileon in the the aim Nationallyby a small Determined number of Contributioncity officials. (NDC).These Forshould example, be theof Greaterthe self London-assessment Authority itself Act is 2007 to explain empowered the terms the Mayorindividuals with whoa “statutory are leading duty the to contributedesign of the towards CAP, theused, mitigation providing of, or promptsadaptation and to, hintsclimate while change answering in theideally UK” including and leaders both who technical have held officials this post, and regardless political ofeach their political question, ideology, it will have be pushed helpful an to ambitious review the agendarepresentatives. on climate The change process may also include principles introduced in the next section. Those consultation with other city stakeholders and seeking a more detailed understanding could also Therecollecting are certain evidence actions from the variouscity might sources. be able to It take is to referstrengthen to the this literature climate governance listed in thprinciple:e bibliography Makerecommended the CAP as that legally one personor policy is binding assigned as the possible: role as Depending section. on Ethearlier national stages or regional of the legal CAP framework development itlead may responsiblebe possible to for make compiling the CAP the legally inputs or administratively and process, binding such at as the the city Strategic level, so Appraisal,that it is much will also hardercompleting for anyone the self to-assessment. reverse the commitments, while recognisinginclude that documented some evolution insights and adaptation about governance in the challenges and opportunities, which could be useful CAPWhen is tooften carry required. out the selfIn the-assessmen US, dependingt: The resourceon the state, cities can pass laws or ‘ordinances’ on certain subjects, which allowed San Diego to vote on its ambitiousto climate review change in advance plan. In of Jakarta, completing the CAP the was self- is intended to be used when formulating or finalising assessment. officiateda CAP, building through on athe Gove Strategicrnor Decree Appraisal in 2012. phase Many and cities might have to rely on non-legislative means to ensureother C40 the CAP receivesdevelopment sustained tools attentionand resources. and cannot It Howbe ignored. to carry For out some, the self this-assessmen might be ensuringt: The figure the on highestcould, however,level of city also government, serve as such a frameworkas the cabinet, for votethe in supportnext page of thesummarises CAP. the process and a more Influencemonitoring or climate advocate governance for national over or timeregional and policyreflect frameworks detailed which description require is citiesoffered to below.implement a CAP: National or regional legislation can mandate cities to have ambitious climate targets and plans. The Government of Peru requires all cities to develop a CAP, and Lima is leading by example of what a ‘good’ CAP looks like. Even if not legally binding, policy from above can still lend political legitimacy for cities to follow. In Qingdao, the city has proactively worked with China’s National Development and Reform 8 Commission on climate change issues since 2010 which Theinitially objectives helped build of thecapacity self-a ofssessment the city to: moveThe CAP forward with climate planning and be labelled a ‘pioneer city’,Governance and then Self feed-Assessment this experience is designed back upwards to aid key

STEP 1: Basic information Complete your city and personal contact information on the assessment sheet.

STEP 2: Describe the city’s climate governance situation Complete the three assessment sheets (Policy Framework, Government Structure and Processes, and Enabling Conditions). For each sheet, consider the following: - Answer the series of questions for each climate governance principle to describe the current situation in the city; - Provide an approximate Low, Medium or High priority categorization for whether the current governance situation helps or hinders implementation of the CAP; - Answer the question: ‘Is it something we can or should focus on?’. For example, is the situation fixed or nearly fixed (e.g. related to the constitutional structure of the country) or changeable (e.g. related to the level of capacity within the city); - Answer the question: ‘What actions can be taken?’. For example, are there any actions which could help strengthen this climate governance principle (in short-term or long-term).

STEP 3: Categorise governance dimensions Review the dashboard for an overview of how each governance principle was categorised (low, medium or high priority) and answer the question. The average city priority categorisations are automatically calculated from the three sheets. The question asks: ‘What are the priority immediate actions that can be taken to address this risk?’ This could require modifications to the CAP to manage these risks, or actions to strengthen this governance dimension which can be incorporated in the CAP.

STEP 4: Decide on the relevant actions Review the high priority categorisations and identify the actions that could be taken after reviewing the city’s own experience and learning from other cities. Where appropriate, consult with local experts and other stakeholders.

STEP 5: Review and complete the dashboard The dashboard auto-populates the average priority categorisations from the three assessment sheets. Reflect on the priorities to identify realistic and immediate actions.

COMPLETING THE SELF-ASSESSMENT

Step 1: Basic information (‘Instructions’ sheet) On each sheet, there are a series of targeted The team responsible for the self-assessment questions related to each of the good climate should complete the city and personal contact governance principles. For each question, a short information on the “Instructions” sheet of the self- answer describing the current governance situation STEPSassessment. ThisFOR is an importantCARRYING step, particularly is required. There is a “Points to consider” column to document the point of time when the analysis is for each question that provides hints and prompts OUTbeing undeSELFrtaken,- as climate governance on how to approach the question. Answers should ASSESSMENTdimensions can change quite rapidly. be limited to 500 words.

Step 2: Describe the city’s climate governance Step 3: Categorise governance dimensions situation For each question there are two additional The self-assessment includes three ‘question questions to consider: sheets’ that form the core of the assessment: 1.) a) Should the governance dimension be reviewed STEPSPolicy Framework; FOR 2.) Governme CARRYINGnt Structure and and prioritised by the city? OUTProcesses; SELF and 3.) Enabling- Conditions.

ASSESSMENT 9

Firstly, the user should categorise the priority level  Yes, immediately: There is a clear as ‘low priority’, ‘medium priority’ or ‘high priority’ opportunity to address the barriers or to help define and communicate to what extent the exploit the positive impacts on CAP climate governance situation is an opportunity or a implementation to strengthen the constraint/challenge to CAP implementation, and governance dimension in the short term what level of focus is required to address the Yes, in the longer-term: There is a need situation:  to address the barriers or to exploit the  Low priority: This is an area where the positive impacts on CAP implementation, climate governance dimension supports but it is not an immediate priority OR it CAP implementation, and therefore will take a long time to address. requires less focus. Cities should ensure

this dimension will be maintained and it therefore needs to be reviewed in the long- Step 4: Decide the relevant actions term (>5 years). For example, if a city has a The process of undertaking this assessment is single lead agency or a specific group of meant to help define particular policy agencies accountable for implementing the interventions. For those questions where the CAP which supports CAP implementation, answer was yes, it is something the city has the the city needs to ensure this is maintained capacity to influence, either immediately or in in the long term. the longer-term, ideas or options should be  Medium priority: This is an area where provided on how to strengthen that particular climate governance dimension does not dimension of climate governance. The column appear to be a constraint to CAP ‘What actions can be taken’ should be implementation, but it could potentially completed after considering the city’s own impose barriers to CAP implementation, experiences, but it is also recommended to and therefore requires more regular review review the learnings from other cities and evaluation (>1-3 years). For example, documented in the next section of this the CAP is being led by a committed high- document. The city may also want to consult ranking official with convening power over local experts and stakeholders to collect further some - but not all – city departments ideas and options. relevant to CAP implementation.

 High priority: This is an area where the Step 5: Review and complete the dashboard current climate governance system could (‘Dashboard’ sheet) hinder CAP implementation, and therefore requires immediate review and revision in The dashboard automatically summarises the the short-term (<1 year). For example, if the actions under each of the governance principles CAP commits the city to introducing a city and the corresponding priority levels. The city Emissions Trading System, but the national may want to consider giving higher priority to the law does not provide the necessary legal actions signposted in red (as High priority) as mandate or framework. these are likely to be the most critical enablers or constraints to the CAP process. For each climate governance principle, there is an open- b) Does the city have the capacity to influence the ended question: ‘What are the priority immediate governance dimension? actions that can be taken to mitigate negative impacts or exploit positive impacts on CAP Secondly, categorise whether the city can influence implementation?’ This is an opportunity for the the governance dimension. The ‘no’, ‘yes, city to reflect on priorities, but also focus on the immediately’ and ‘yes, in the longer term’ most realistic and immediate actions that could categories communicate whether it is possible for strengthen climate governance. Some of these the city to change or influence the situation, as well actions might then be incorporated within the as whether it is realistic in the short-term or in the current or future iteration of the CAP, or taken up long-term. The categorising guide on each sheet during the implementation process. also defines each categorisation:

 No: It relates to an issue which the city cannot influence or change for CAP implementation

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GOOD PRACTICE ON STRENGTHENING CLIMATE GOVERNANCE

GOOD PRACTICE ON

GOOD PRACTICE ON STRENGTHENING CLIMATE GOVERNANCE

This section addresses each of the good climate governance principles identified in section one, explaining why they are relevant for CAP implementationGOOD ,PRACTICE and providing key learning sON and best practice for how to strengthen these principles in practice. It also provides examples and case studiesSTRENGTHENING from various cities, as well as evidence CLIMAT from literature onE more general good practices and recommendations. GOVERNANCE CAP GOVERNANCE SELF-ASSESMENT GUIDANCEThis section goes through each climate1. POLICY governance PRINCIPLES principle, to explain why it is important and relevant for CAP implementation. It then offers learning and good practice on how to 1.1 City, regional and national policy strengthen it. As much as possible, specificlegal examples framework it andmay becase possible studies to make from the CAP citframeworksies are provided, that as make well as the evidence CAP fromlegally literature or administratively on more binding general at the citygood level, commitments binding making it harder to reverse the commitments (while practices and recommendations. recognising that some evolution and adaptation in The policy framework (meaning laws/acts, targets, the CAP is often required). In the US, depending on regulations etc.) within the city, and also at the the state, cities can pass laws or ‘ordinances’ on regional and national levels, should help bind a city certain policy areas. This governance approach to implementing the CAP. This holds the city enabled the city of San Diego to vote on its accountable for working towards the commitments ambitious climate change plan in 2015, which CAPand targets and making G it difficultOVERNANCE for future city included a target to achieve a 15% reduction from leadership to reverse or ignore them, and to ensure the 2010 baseline by 2020, and a commitment to longevity beyond the political term. This is revisit the CAP in 2020. Many cities might have to particularly important when the CAP exceeds the rely on non-legislative means to ensure the CAP level of ambition of the Nationally Determined receives sustained attention and cannot be ignored, SContributionELF (NDC). For- example,ASSESMENT in 2009, São for example by ensuring the highest level of city Paulo adopted a citywide policy of 30% GHG government, such as the cabinet, vote in support of emissions reduction from 2005 levels by 2012, the CAP. For example, Jakarta’s 2012 CAP was thereby setting higher targets than the national officiated through a Governor Decree. GUIDANCEgovernment. This policy later paved the way for the city’s 10- and 20-year transportation climate Influence or advocate for national or regional policy targets for fleetwide reductions in tailpipe frameworks which require cities to implement a CAPemissions. GOVERNANCE The long- termSELF - goalASSESMENT was to eliminate GUIDANCE ThisCAP: sectionNational or goes regional through legislation each can mandate emissions of fossil fuel derived CO2 (and cities to have ambitious climate targets and plans. climatesimultaneously governance reduce emissions principle, of PM and to NOx explain by whyThe Governmentit is important of Peru and requires relevant all cities for to CAP95%) fromimplementation. 2016 levels by JanuaryIt then 2038. offers As learning a develop and a good CAP, and practice Lima is leading on how by exampleto of strengthenresult, São Paulo’s it. targetAs much is significantly as possible, higher than specific what examples a ‘good’ CAP and looks case like. studies Even if not from legally the national government’s fleetwide target of 43% binding, policy from higher levels of government citiesreduction are in CO2 provided, by 2030. as well as evidence from(e.g. literatureat regional/national on more level) gener can provideal good political practices and recommendations. legitimacy for cities to follow. The city of Qingdao has proactively worked with China’s National There are certain actions the city might be able to Development and Reform Commission on climate CAPtake G toOVERNANCE strengthen SELF this -ASSESMENT climate governance GUIDANCE Thischange section issues since goes 2010. through This initially each helped build climateprinciple: governance principle, to explain whycity capacity it is important to move forward and relevant with climate for action CAPMake implementation. the CAP as legally or poliIt thentically offers binding aslearning planning and asgood a ‘pioneer practice city’. onThe howcity’s experienceto strengthenpossible: Depending it. As on much the national as possible, or regional specific examples and case studies from cities are provided, as well as evidence from literature on more general good practices and recommendations. 12

then fed back upwards to support the development example, a city may need to get approval to utilise a of the National Plan for Tackling Climate Change. nationally sponsored programme to deliver a particular climate action. Similarly, many cities may Strengthen non-policy measures that hold the city need to coordinate with neighbouring jurisdictions to accountable for CAP implementation: There are also potential non-policy options for keeping a harmonise or align similar policies, for example, to spotlight on the implementation of the CAP. For avoid people circumventing higher prices of fuel example, having a citizen’s advisory group which (intended to disincentivise private vehicle use) by monitors or advises implementation, or an active purchasing it just outside the city boundaries. and engaged media to track the CAP There are certain actions the city might be able to implementation progress. There are also examples take to influence the alignment of the CAP with of judiciary activism putting pressure on wider laws, policies and regulation: governments to deliver on climate action Change wider laws, policies and regulations to commitments. For example, in 2019, the Dutch ensure alignment with the CAP: During the Supreme Court ruled in favour of a case made by development of the CAP, the city is expected to the Urgenda Foundation and nearly 900 citizens of identify any legal or policy barriers to ambitious action the Dutch government’s legal duty to prevent on climate change. In many cases, the legal or policy dangerous climate change. This ruling made it barrier might be fixed and not possible to influence. legally required for the government to cut GHG In this case there may be other ways of managing emissions by at least 25% by 2020. In Lahore, these constraints, alternatively modifying the scope Pakistan, the High Court in 2015 directed all levels of the CAP. In some cases, particularly for municipal of government to implement the commitments level policies, it might be possible to change or adjust made in the 2012 National Climate Change Policy the policy barrier. Another strategy is to engage with and to address the impacts of climate change, other influential stakeholders (such as civil society or which was already being experienced across the businesses organisations) to advocate for policy country. change. 1.2. Horizontal and vertical alignment Box 1: Navigating alignment between city, state of the CAP with wider laws, policies and and national policy frameworks in Surat, India. regulations In Surat, India, the city introduced the world’s first The CAP sets out a list of climate actions for which cap-and-trade market in particulate pollution in different agencies (e.g. city departments) and 2019. While being developed, city officials were actors are responsible for implementation. It is uncertain whether it was allowed under India’s therefore explicitly or implicitly expected that these sweeping environmental law and were therefore agencies will integrate or mainstream these actions reluctant to move forward given this risk. In within their ongoing plans, policies, processes, and particular, whether market driven mechanisms programmes. The C40’s Vertically Integrated Action were allowed for environmental management, and Tool (VIA Tool) and Guidance Document supports the level at which penalties can be set. While the cities to assess the alignment between the city explored the option of advocating for a change municipal and other levels of government on in the rules, which could have taken many years, climate change when developing the CAP. The they were able to find a quicker solution. They extent to which the CAP integrates within relevant gained sufficient clarity by requesting for a regular policy entry-points at the city, national and regional notification to be published to confirm the legality levels will determine the degree of implementation. of the scheme. In addition, the courts have ruled to For example, one action listed in the Barcelona CAP allow the levying of payments to cover is to increase the number of health service staff by environmental damages. Surat has now set a 2030 to deal with extreme heat. This will require precedent for the use of market mechanisms under their Public Health Agency to adopt a similar target national environmental legislation which is within their own strategy and planning documents expected to encourage further uptake. and make the necessary provisions in their budgetary allocations. Introduce a requirement for climate screening: To facilitate the mainstreaming process, laws, Good practice in climate governance is the routine policies and regulations at the city level as well as screening for climate challenges and opportunities at higher levels of government, should be within the city’s policy and planning processes. supportive of, and aligned with, ambitious climate This screening process can be carried out for action objectives. This will help avoid legal or policy projects and programme requests for funding, for barriers to delivering on the CAP commitments. For new policy proposals, or as part of the regular

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budget cycle. In Punjab, Pakistan, an online 1.3. An effective governance system ‘Punjab Adaptation to Climate Tool’ was developed and championed by the Planning and for Climate Action Planning Monitoring, Development Department, for screening of water- Evaluation and Reporting (MER) related climate risks in projects submitted to the Department for Funding. In Ethiopia, the central Cities are expected to develop and implement an government is currently undertaking assessment effective system for Monitoring, Evaluation and of all sectoral submissions for the new Ten-Year Reporting (MER) of their CAP. This will allow the city Perspective Plan, to check whether they recognise to measure success and adjust priorities over time. and address climate and disaster risks. The C40 City Climate Action Planning MER Guidance Document outlines the key steps for developing a CAP MER system. This includes: Box 2: Oslo’s robust system of MER under the Allocate clear responsibility for MER of the CAP to climate budget agencies or a coordination committee with the required mandate and sufficient capacity: To be

effective, the monitoring system for the CAP as a In 2016, Oslo became one of the first cities in the whole needs to be led by an agency, cross- world to present a climate budget, as part of its departmental committee or other actor with clear innovative MER governance tool. responsibility to carry out the monitoring, and with the capacity to do this. The system will likely Every year the city sets a ceiling on greenhouse include project managers of the CAP climate gas emissions with a comprehensive monitoring actions who will report to the agency or committee and reporting system, a highly transparent leading the oversight of the CAP. The system governance tool to show whether existing climate should also enable coordination with national and change actions are sufficient to meet targets, regional levels to facilitate access to data. imposing an obligation on all city agencies to submit regular progress reports on the actions Integrate MER of the CAP within the regular MER they are taking. The city also uses a ‘Climate system of the city: Ideally it should be fully Barometer’ to publicly report on a set of indicators integrated within, or built upon, existing monitoring in near real time to give early indication of positive and reporting protocols and systems in the city. and negative trends. The process should build on already existing systems, considering who will contribute to the The system builds on the existing budgeting, day-to-day development and maintenance of the monitoring and reporting process, with the CAP MER system. For example, in Johannesburg, Department of Finance issuing Annual Allocation South Africa, climate change indicators have been Letters requiring departments to identify and included in the city’s corporate scorecard against report on mitigation actions that will meet the which the city team’s performance is assessed and annual target. the city is audited.

Conferences held three times a year provide Involve a city communications team in the MER platforms for businesses responsible for system: The involvement of the communications implementing climate measures to report on team from the beginning is crucial as it will help progress towards the goals. Additionally, networks define what needs to be communicated, how and have been established by the city council to to whom. Demonstrating progress and clearly strengthen communication between business communicating the quantified benefits of climate communities, NGOs and citizens in addressing action offers many opportunities. For example, it inter-sectoral obstacles that businesses face can improve access to national and international when trying to meet city emission targets. climate funding and secure more support from citizens and other key city stakeholders. The Department of Finance and the City Council for Environment and Transport are responsible for the Climate Budget, and for coordinating the budget presentations at the conferences. The City Council has overall responsibility for monitoring and implementing the climate measures and other associated initiatives.

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on their commitments. However, this needs to be 2. GOVERNMENT balanced with the need to protect the lead agency from any perceived political bias which might STRUCTURES AND encourage a new mayor to seek a change in the institutional setup. In Jakarta, a position was PROCESSES created for a Deputy Governor responsible for spatial planning and environmental matters, to ensure that a high-level political representative is advising the Governor on climate change 2.1 Clear roles and responsibilities regardless of who is in office. allocated to agencies and departments Build an effective institutional set-up over a longer time period: There may not immediately be an There need to be clearly defined and robust obvious agency to lead and coordinate the CAP institutional arrangements for implementing the implementation. A longer-term strategy can CAP. This stems from the complexity of climate therefore be required to either establish a new actions and the need to coordinate within and agency, or to develop the capacity, mandate and across the different departments, actors and levels authority of an existing agency. This takes time and of government potentially involved in CAP is closely linked to building human resource implementation. Institutional roles need to be capabilities (see below). It may be beneficial to carefully defined in particular for two purposes: leverage institutional arrangements which have Firstly, to mandate an agency or agencies with already proven effective for non-climate agendas, overall authority to lead and coordinate the CAP, such as temporary legal entities set up for another and secondly to allocate specific responsibilities to specific purpose, or to revise the mandate of the varied agencies and stakeholders involved in specific agencies or departments. For example, in the implementation. Kempten, Germany the mandate of the Energy There are numerous models of governance Team was extended to include climate change arrangements, and there is no ‘correct’ policy making, and the team was reconstituted as institutional set-up or structure for managing a Climate Protection Advisory Body. climate change within a city. For example, in Cape Town, responsibilities for climate change are Formalise mandates, responsibilities and spread across three agencies, under the overall processes: The responsibilities of different authority of the Council or Mayoral Committee. In agencies for CAP implementation should be other cases, a single lead agency will be ultimately mandated through proper legal or bureaucratic accountable for the successful implementation of processes, to ensure they are sustained and the CAP. The need for clear roles and institutionalised. In Lima, a new Metropolitan responsibilities for different agencies in managing Environmental Commission was formalised climate change is relevant for cities with limited through a series of steps, including an Ordinance levels of power and authority devolved to them. and Mayoral Decree, and a signed resolution approving an ‘Internal Regulation’ setting out in There are certain actions the city might be able to detail the rules of the Commission such as the take to make the roles and responsibilities of timing of meetings and voting rules. different agencies clearer: Seek alignment with existing mandates and roles Empower the lead agency or agencies through and responsibilities: To ensure the sustainability of high-level political backing: The authority to lead the institutional structure for CAP implementation, and coordinate the CAP implementation should be it can be beneficial to leverage existing structures. granted by the Mayor or other concerned Ideally, all city agencies and departments would authorities and recognised as legitimate across have some role in the CAP or in climate action in the board. Ideally, the lead implementing agency general. In Los Angeles, a role of Departmental would already have its own independent source of Chief Sustainability Officer was created within each authority and power. For example, Johannesburg department to coordinate action on climate change purposely located the Climate Change Unit within within the department and liaise with the Mayor’s the Environment and Infrastructure Services Office in monthly meetings. Department, which is one of the highest budget departments with authority across different Depending on the level of autonomy of the city, it sectors. may be more or less necessary to ensure responsibilities for CAP implementation align with The lead agency will benefit from visible backing of the mandate and authority granted to the city from the mayor or senior managers to encourage other higher levels of government. It could be useful to actors involved in CAP implementation to deliver

15 consider replicating structures and processes at a to (ideally publicly) monitor and report on progress higher level, to help facilitate coordination. For and performance across agencies to maintain example, in Chennai, India, the CAP process is being motivation and accountability. In Los Angeles, the led by the cross-cutting and relatively autonomous Mayor requires General Managers of city department (coordinating body) responsible for departments to include how they are contributing implementing the national ‘Smart Cities’ to the milestones of LA’s Green New Deal as part programme. of their annual performance review. Identify and integrate influential stakeholders 2.2 Sufficient human resource within the formal structure: It is important to understand the potential informal role of certain capabilities agencies or non-state actors in CAP implementation (see principle 3) and build a formal role for them The city needs a sufficient number of committed within the institutional arrangement. For example, in staff with an appropriate level of technical Bihar, India, a local politically influential think-tank, knowledge, motivation and the required amount the Asian Development Research Institute, was of time to manage implementation of the CAP. For selected as the formal climate change knowledge example, one of the ‘soft’ skills required would be centre for the government. Cities should in general a willingness and ability to engage with other consider institutional arrangements that increase cities, learn from wider experience, share best the space for multiple stakeholders to contribute to practice, innovate and experiment with climate the CAP process. action. For example, C40 cities are engaged in thematic city networks to engage with and learn Set clear Key Performance Indicators and track from each other such as the Air Quality Network agencies responsible for implementation: The and the Municipal Building Efficiency Network. agencies with responsibilities for implementing CAP actions will have been closely involved in the To strengthen capacity some cities have formulation of the plan. However, it can be a increased the number of staff working on climate challenge for them to sustain focus and change. However, in many cases funding commitment during implementation, especially if constraints do not allow for this measure. there is a change in personnel. Ideally their Alternatively, cities focus on capacity building for responsibilities under the CAP are built into their existing staff, which is also requiring an own agency goals and Key Performance Indicators. investment of time and resources. Under the CAP’s MER system, it will also be helpful There are certain actions the city may be able to take to build sufficient human resource capabilities. Box 3: Strengthening an institutional capacity for managing climate change in Can Tho, Vietnam Utilise external human resource capabilities: Cities themselves might not be required to conduct or have the know-how of all technical In 2010, Can Tho, Vietnam, began a process to areas related to climate change (for example they formulate a local climate change resilience plan. might not know how to draft a Carbon Budget for However, the city quickly recognised that it would their city or carry out a Greenhouse Gas Inventory) be impossible for existing local government staff but they need to understand the requirements at to take on the new role of supervising resilience hand and bring on board stakeholders who do. planning and investment activities, due to a lack This could involve partnering with research of technical capacity in climate planning, limited organisations (such as universities) or specific staff and time, and a lack of authority to service providers who bridge the knowledge gap. coordinate across multiple agencies. Develop a realistic and long-term capacity With support from Rockefeller Foundation (RF), development plan: There is no blueprint for a the city established a new local government office ‘sufficient’ level of human resource capacity, as it for this purpose. The Asian Cities Climate Change will depend on the exact mandate of an institution Resilience Network (funded by RF) supported part and job description of a particular individual. An of the staff costs, capacity building, research and assessment of capacity should therefore be technical assistance for this office, while the city tailored to the specific context, ideally the of Can Tho contributed staff time, along with assessment should be participatory and carried office space. out by the officials themselves. In certain cities,

16 capacities might need to be built for project needs to be one of ‘facilitation’ where the management, project design and procurement technical consultants help broker knowledge and processes, while for others it might be related to partnerships for the city governments and help specific technical aspects of particular projects. The them engage with a broad range of stakeholders, capacity building solutions will then need to rather than and carrying out the activities on their address the specific identified gaps. behalf. Maximise the benefits and value from external 2.3 Effective structures and capacity building and technical support programmes: There are various external incentives to coordinate CAP programmes and networks offering training, implementation across agencies and capacity and technical support to cities on climate levels change. These present an opportunity to cities but need to be carefully considered. All capacity As highlighted above, the cross-sectoral and strengthening activities offered need to be multi-dimensional nature of tackling climate monitored to understand their efficiency and change, means multiple agencies will be involved relevance to the specific needs of the city. The in CAP implementation. Similarly, the multi-level nature of any technical assistance being provided nature of urban governance means the city, to different degrees, needs to coordinate and work with regional and national governments. In Box 4: The Cities Finance Facility (CFF)’s holistic addition, it might be necessary to coordinate view of capacity development outwards with neighbouring regions, particularly in the case of shared resources (such as rivers). The level of coordination required will depend on The CFF Climate Capacity Development Process the level of autonomy of the city, and will be consists of four steps: i) Capacity assessment particularly important for cities where there is process through an online survey Capacity some overlap in the authority in climate-relevant Assessment Tool and Semi-Structured sectors between different levels of government. interviews; ii) Capacity development plan; iii) Implementation of the capacity development Some form of structure and incentives is plan, and iv) Evaluation of capacity developed. required to coordinate across these multiple agencies, to ensure there is a shared 17 cities have so far engaged in this process, and commitment to the task and to avoid duplication a range of capacity building activities are being of work. This could take a number of different pursued as a result: forms. For example, if the implementation of the At the individual level: Providing job training by CAP is being steered top-down, meaning led by highly qualified national and international the mayor’s office or a senior manager, then their experts, training courses, seminars, workshops, authority may be sufficient to convene the exchanges with other cities, coaching and different agencies. mentoring, e-learning courses, study tours and There are certain actions the city might be able exchange programs. For example, Durban is to take to strengthen the coordination of CAP integrating climate change modules within its implementation: existing municipal e-learning website which provides virtual guidance on a variety of subjects Set up interagency or interdepartmental ranging from project management to project coordination committees: An agency with a design. cross-sectoral mandate is likely to be in a better position to coordinate CAP implementation At the organisational level: Carrying out studies across different agencies. In many cases, the for improving organisational performance. lead agency for climate change has relatively less At the inter-organisational level: Providing expert power and influence over other relevant agencies and policy advice for better coordination and (e.g. environmental departments) and may communication with key stakeholders, fostering struggle to coordinate with other agencies as participation in networks and city exchanges required. As such, some form of interagency or through C40’s thematic networks, and/or cross-government body dedicated to climate enabling the participation in conferences and change is desirable. networking events. It is crucial that this committee or body has the authority to guide and inform the decision- making of the other relevant agencies, and that

17 it meets regularly to remain focused on relevant making decisions, such as multi-criteria decision tasks. Johannesburg used the city’s already existing analysis. ‘cluster system’, chaired by members of the Mayoral Committee, which coordinates city programmes around four outcomes outlined in the ‘Joburg 2040

– Growth and Development Strategy’. This existing structure provided the lead agency for the CAP with an avenue to seek high-level political support and to coordinate across sectors. Box 5: Coordinating different agencies in e- Coordination is required not just horizontally (e.g. Thekwini (Durban) with city stakeholders), but also vertically (e.g. with other levels of government). C40 has developed the The eThekwini municipality recognised that the Vertical Integration Action (VIA) Tool that enables Durban Climate Change Strategy (DCCS) and CAP cities to examine their governance structure to would require coordination and cooperation identify opportunities to align the CAP with regional among all units and departments in the city. As and national climate policy. For example, with the an integral part of the strategy and plan, the formation of the Greater London Authority, a municipality created a set of ‘Governance and strategic regional authority with powers over Steering Structures’, including: multiple sectors, it was easier to plan for decarbonisation in the Greater London Metropolitan A political body, known as the eThekwini Area and to ‘unlock’ numerous partnerships across Municipal Climate Change Committee (CCC), the different city councils. In Bogotá there is close consisting of 12 non-partisan councillors and led policy and institutional coordination between the by the political head of the municipality, the city and the region. Within the scope of the city’s Mayor. The CCC provides political oversight to the Climate Action Plan, a partnership with the climate change activities in the city to ensure Cundinamarca Region has been created, forming alignment with the city’s strategic objectives. an inter-institutional platform for climate change, Meetings are arranged a year in advance and and thus strengthening an integrated perspective of placed in the political calendar to ensure they are the Metropolitan Region of Bogotá. given priority.

Assess climate risks for the city and neighbouring The Durban Climate Change Strategy Technical regions: It may help the city to engage with Task Team (TTT) is a senior administrative body neighbouring regions on the issue of climate convened at the level of unit heads that supports change, by carrying out an assessment of climate the CCC. It represents a trans-sectoral body of change risks and adaptation and mitigation municipal sectors tasked with leading the opportunities at a wider scale beyond the city implementation and mainstreaming of climate boundaries. This may motivate other regions or change activities. This was initially formed as an cities to join forces and collaborate. It may be advisory panel under the South African Disaster preferable for this to be led not by neutral actor, Management Advisory Forum (DMAF). The DMAF perhaps the national government or a non-state requires all cities to develop a risk reduction plan actor or programme. In Guadalajara, a metropolitan that is linked to climate change adaptation. It was level CAP is being developed to fully integrate later endorsed by the Mayor, who requested the actions across municipal boundaries. TTT to meet more regularly to focus on climate implementation. There are set terms of reference Adopt an evidenced-based decision-making and meetings every other month. process: The different agencies involved in CAP implementation will have access to different types The TTT is supported by the DCCS Sub- of data to measure outcomes and actions (e.g. both committee, which convenes unit deputy heads qualitative and quantitative data may be available), and senior management. The Subcommittee is and for some actions there might be trade-offs responsible for operationalising climate change between sectors that need to be managed. Action in policies and plans at project level. This is one sector or locality can have negative spill overs currently being formalised. in another, for example flood protection projects in one location may make areas up- or downstream more vulnerable to flooding. Therefore, it can be helpful to adopt certain coordinated data driven methodological tools as standard practice for

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2.4 Relevant and accessible data and different agencies, which can inform analysis by external parties. analysis

Data, information and evidence is required to support CAP implementation, for the design and planning of specific CAP actions, as well as 2.5 Effective engagement and monitoring progress and effectiveness of the plan. partnerships with the private sector, A broad range of data and information will be civil society, and the general public required, including regular up-to-date and historical climate data, analysis on current and future climate Non-state actors, including the private sector, risks and adaptation options, emission scenarios civil society and the general public, have two and mitigation options, etc. roles in CAP implementation: Those who have a There are certain actions the city might be able to stake in the planned actions (including those take to facilitate access to relevant data and directly impacted by climate actions, for analysis: example by owning assets within the city) as well as those who have the resources or Broker science-policy partnerships: Cities can forge capabilities to support or manage the delivery of partnerships with non-state entities with the a climate action. Both are crucial stakeholders technical skills to carry out relevant analysis to in managing natural resources and addressing inform the CAP process. For example, Heidelberg, climate change, and as such need to be Germany, has chosen to invest in a partnership with effectively engaged during the process of an external research institute to regularly produce a implementing the CAP. In particular, the city GHG inventory, rather than building the required communities most vulnerable to climate change technical skills in-house. Strategic partnerships need to be proactively engaged throughout the between creators and users of data can be a more process. It is recommended that different efficient way of gaining access to relevant stakeholder groups are engaged together to information, although it relies on a high degree of better understand if there are potential trust between the partners. It could also help make challenges when implementing the CAP and to the information and analysis produced more ‘user- co-develop solutions. friendly’ and better communicated. Policy makers need to guide the scientists in how the data and There are certain actions the city might be able analysis can be presented in a manner which they to take to ensure effective engagement and can easily use. partnership with non-state actors: There are many examples of data centres being set Follow a proactive, regularly updated multi- up for better climate decision-making by cities, such stakeholder engagement plan: The plan should as the science-policy centres in the flood-prone port seek to describe how different stakeholders are city of Rotterdam, which tracked sea-level rise negatively or positively impacted by the CAP and amongst other climate projections to input into seek ways to manage different interests and Rotterdam’s Climate Adaptation Strategy. Similarly, in the Greater Manchester Area, a programme involving leading climate scientists carried out a risk Box 6: Data and information management for assessment of critical infrastructures in climate change in Rio de Janeiro Manchester, and helped the City Council prepare Manchester’s Climate Change Strategy based on these data. Rio de Janeiro has included an agency responsible for data and information as key part Adopt open data and data-sharing principles across of the institutional structure for managing the agencies: In most cities, data is collected and implementation of the CAP, and created a ‘owned’ by different agencies, therefore a data- Climate Monitoring System to support the sharing culture and protocol will be required. The delivery and monitoring of the CAP. The existing city will often not have access to data on resources city institute that collects, analyses and or services managed by a higher level of disseminates data and information about the government. However, the city can help promote city, the Instituto Pereira Passos - IPP, also has a transparency to improve the availability of data and mandate to manage the Climate Monitoring information on climate change by uploading trusted System, this includes monitoring of GHG sources of data and analysis on an official website. emissions, climate change impacts, and This would ideally include relevant data from mitigation and adaptation actions implemented.

19 incentives. Essential components are transparency Box 7: Lessons on stakeholder engagement in the decision-making process and being proactive from Makassar, Indonesia in organising diverse stakeholder consultations to ensure no one viewpoint dominates. Advisory The Makassar Urban Water System Body groups involving a diverse group of stakeholders, Stakeholder Engagement Plan (SEP) balancing different interests, may be helpful to identified key stakeholders’ groups at the outset encourage those who may oppose a particular of the climate adaptation project through a action to contribute to finding a compromise. number of exercises, including stakeholder Be open in communicating on the CAP in design workshops, mainly focusing on engagement with and implementation: There are different methods the direct stakeholders (those who can directly the city can use to ensure effective stakeholder affect and/or are affected by the outcomes of the participation and engagement in the development project).The SEP was designed as a ‘living and delivery of the CAP. During the CAP formulation document’ to be continuously updated process, stakeholder analysis and consultation throughout the project lifetime, such that should be conducted, ensuring the CAP process is progress and outputs of the stakeholder participatory and those impacted by the plan would engagement activities were monitored closely. have a say in its creation. For example, when formulating climate actions and goals for the Strong coordination among the Australian and ‘Sustainable Sydney 2030’ agenda, the city used Indonesian researchers and policy-makers various avenues to engage with different involved in the project was established through a stakeholders and local communities, including: an number of activities including conducting a online consultation portal with surveys, polls, and specific sub-study for local researchers, training chat forums; workshops and community meetings; workshops and visits to donor research facilities. stakeholder roundtables; town hall meetings; and citizens’ juries .

Involve non-state actors in delivery partnerships for CAP actions: There is a great potential to leverage the resources, networks, influence and expertise of non-state actors for CAP implementation. A 2.6 Access to sufficient financial transparent process is needed for deciding whether resources to use an external organisation to deliver a particular climate action, and new models of public- It is recommended that the CAP includes a list of private partnerships can be considered. For climate actions which are realistic both in terms example, in Durban, the city is partnering with of timeframe and available resources. Financing community-based cooperatives to manage the CAP will likely require utilising existing budgets waterways as an economic asset, with benefits for not specifically earmarked for climate change, improving water quality, protecting the environment adjusting the scope and focus of already planned and providing employment. activities, and/or accessing additional internal or Ensure the voices of the most vulnerable to climate external sources of finance. The availability of change are heard: Those most vulnerable to finance for climate action will depend on the city’s climate change (communities at risk) have the autonomy to raise revenue within the city limits greatest potential stake in the CAP. As such, they (e.g. through tax and debt) and through national could be strong advocates for the CAP, but often and international sources of climate finance. find it difficult to engage in formal consultation There are certain actions the city can take to processes. Cities should therefore consider how to mobilise resources for CAP implementation: make the consultations and engagements accessible to these communities, taking into Mainstream climate change into public budgets: account language, internet access, resource and In many cases, existing development budgets other constraints. In Lima, the city government has might present untapped opportunity to increase created a Council of Children to collect ideas from spend on climate action, as existing city projects the younger generation. C40’s Guide on Inclusive and programmes could be easily adapted to Community Engagement provides practical provide greater adaptation or mitigation benefits. resources and guidance for how to achieve One entry-point for considering this is to carry out equitable climate action through meaningful a climate change relevance scoring assessment engagement. of the budget. In Delhi, the ‘Green Budget’ process, integrated within the normal budgeting, monitoring and reporting system, identifies and tracks projects and initiatives that can be labelled as ‘green’.

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Engage with potential sources of external funding: In recent years, sources of external funding for 3. ENABLING climate change have opened for cities, but there is often a lack of technical know-how on how to CONDITIONS structure climate change projects for market viability and sustainability. There is some external support to help bridge this capacity gap and develop bankable projects. International climate 3.1. Political leadership within the city funds, such as the Green Climate Fund (GCF), and wider political support support city level climate change projects, but require the city to work with the national Sustained political leadership is an essential government and the designated entity for the GCF component of not just the development of the CAP, to get the funding proposal submitted. All such, but also the implementation process. Political sources of funding and support will require some leadership is important to establish a vision, investment by cities to understand the different mobilize action, develop partnerships with potential benefits and costs, processes and stakeholders, unlock resources, raise public requirements. awareness, and ensuring that the process materialises. However, political leadership needs Explore new sources of funding: There are many to be sustained beyond short-term electoral cycles, examples of cities experimenting with new models and therefore effective CAPs should be positioned of bringing in private sector financing for climate carefully to not be identified closely with a single actions, such as ‘Green Bonds’ or Municipal mayor or political party. Climate Bonds, carbon markets, feed-in-tariffs, etc. These tend to require a lot of effort in setting the In addition, a corresponding level of political necessary rules and regulations for the scheme, leadership and support at the sub-national and but also to make the sector as attractive as national levels can be necessary, depending on the possible for private sector investment. In most city’s dependence of resources, policy guidance cases it will also require close collaboration with and the legal framework set by other levels of national and/or regional governments. This can government. For some, it might matter whether the take the form of public-private partnerships (PPPs), governments at different levels are of the same in which the long-term risk is transferred to the political party or ideology, while for others it may private sector. just depend on whether the higher-level political leadership shares the level of ambition and There may also be existing national or regional engagement on tackling climate change. programmes or projects that can be leveraged to fund specific CAP actions. For example, the West There are certain actions the city could take to Bengal Transport Corporation – the state-owned ensure that there is sustained political leadership enterprise that runs Kolkata’s public transport for the CAP: system – identified an opportunity to leverage Focus on the wider benefits of the CAP for political national funds to support electrification of the priorities: Many city leaders (e.g. mayors) city’s bus fleet through the Indian Government’s recognise the benefits of action on climate change programme on Faster Adoption and Manufacturing for wider socio-economic priorities. When of Electric vehicles (FAME). The state provided 60% implementing the CAP, it can be helpful to stress – of the funds for the procurement of the initial 80 e.g. through media and public communication – electric buses and is also partly subsidizing the the co-benefits of the plan for delivering on wider installation of charging infrastructure. The West political priorities, such as the creation of new Bengal State Government provided the remaining green jobs. This may help sustain political funds for the buses, charging stations, and attention on the CAP and build support. infrastructure costs. Build cross-party political leadership: When a CAP

is closely associated with a particular political leader or party, there is a risk that the CAP gets de- prioritised when there is a change in leadership. It

is therefore important to establish consensus among different political parties on the importance of the CAP, ensuring a cross-party commitment

and mainstreaming of CAP implementation. For example, in 2015, the San Diego City Council

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Box 8: Sustained political leadership in New York unanimously adopted a legally binding plan to cut City emissions in half during the next two decades. While achieving cross-party consensus might Climate change gained political focus in New York require compromising during the formulation of after Mayor Michael Bloomberg created Office of the plan, it will help protect it from the Long-term Planning and Sustainability in 2006, vulnerability of short-term political cycles. committing to developing a comprehensive plan for a more sustainable city. PlaNYC 2030, released in Develop coalitions of influential non-state actors: 2007, set an ambitious target of reducing 30% GHG Partnerships with non-state actors as outlined emissions from 2005 levels by 2030. Since then, a above could also help sustain political attention to progressive climate change agenda has been part of the CAP. By involving influential stakeholders, the city’s identity, maintained by succeeding such as businesses and civil society organisations Mayors. In 2019, the state assembly passed an in the actual delivery of the CAP, these ambitious target of net zero emissions by 2050, stakeholders are more likely to be supportive of further committing the city to delivering ambitious the plan, and this support might influence the climate action. views of political leaders. In London, influential coalitions such as the London Climate Change A couple of best practices can be identified through Partnership (LCCP) – a consortium of private and this case study which can inform other cities’ public agencies with the mission to address strategies. For example, tackling climate change has energy-related measures – has played a role in been repeatedly linked to citizens’ key concerns, sustaining the level of ambition on climate change allowing political leaders to take action on certain by collecting and sharing information on issues. For example, the PlaNYC mandate was anticipated climate change impacts, and widened to incorporate climate change adaptation – proposing actions for mitigation. an effort that was stepped up following flooding of the city’s subways. The cities’ OneNYC 2050 strategy links the two political objectives of 3.2. Political economy drivers that addressing the climate crisis and achieving equality. enable and support CAP

The city has also widely publicised climate action implementation plans to encourage citizens and the media to hold it accountable for delivery. The city also undertook There are many contextual factors within a city collaborative planning and put in place feedback which will influence and inform the processes for communities of different political implementation of the CAP. Two broad sets of beliefs. Bodies such as the Clean Air Task Force and political economy drivers include: the New York City Panel on Climate Change involve a) The interests and incentives facing stakeholders as varied as city and regional different groups and how they exercise authorities, scientists, legal, insurance and risk power and influence decisions. For management experts, and private infrastructure example, there might be stakeholders companies. In recent years, OneNYC 2050 has also who perceive they will be disadvantaged created targeted interventions for the inclusion of from a climate action and who – diverse ethnic and economic groups. depending on their economic or political influence – may influence or even block implementation. The fossil fuel industry has traditionally played this role, but it could also be the real-estate sector, manufacturing industries, and other powerful industries. b) The role of informal social, political and cultural norms and values. For example, in some instances, the majority religion or ruling political ideology might influence not just whether the city government supports an action, but also the wider societal attitude to tackling climate change. In Rosario, Argentina, the city’s

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Box 9: Evidenced-based decision-making process political roots gave rise to the city’s with the Green Ribbon Commission in Seattle relative autonomy towards the federal government, as well as the city’s focus on The Mayor of Seattle set up The Green Ribbon social policies, decentralisation, Commission in 2005, bringing together universities, accountability, and urban planning entrepreneurs, non-profits and government reforms - many of which include stakeholders to develop solutions and environmental components. However, recommendations for city action. Taking a data- this political context has also contributed driven approach, the commission formed a metrics to tensions with higher levels of sub-committee to set out and track indicators for government, which the city relies on for climate action, coupled with action-oriented funding. committees related to energy, transportation, While such local conditions are difficult to change, outreach, and freight. The Commission adopted a there are certain actions the city could take to clear set of indicators to decide on the relevance of manage any potential constraints these a particular activity under the city’s CAP: conditions pose to the successful implementation

of the CAP:  Does the action result in GHG reduction? Can the GHG emissions reductions from the action be measured? Promote transparent and participatory  Are the cost estimates from the action approaches for decision-making: Best practices reasonable? on managing stakeholder engagement as  Is the action technically and legally feasible? outlined above will help mitigate the risk of any Does it have a precedent? one stakeholder influencing the process. This can  Were there partnerships that could improve include involving stakeholders expected to programme implementation? oppose a climate action into the decision-making  Did the action have co-benefits such as air process. For example, within a citizen or technical pollution reduction, job creation etc.? advisory group, balance those with opposing opinions with those strongly advocating for the Using this transparent and evidenced-based process action. In Los Angeles, a Climate Emergency helped the commission to further manage and Commission was established comprising navigate different opinions and interests among the representatives from disadvantaged stakeholders. communities, indigenous local tribes, small businesses, employees, policy and science experts and city department senior experts. Together with community assemblies which collect inputs from the communities most vulnerable to climate change and shifts in the economy, the Commission is an advisory body that aims to ensure voices that are usually absent from the policy-making process get heard. In general, taking the extra time to find compromise and consensus, whether between political parties or stakeholder groups, is likely to make the implementation process smoother.

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CONCLUSION A good climate governance system is integral for the effective implementation of a city’s Climate Action Plan (CAP), and the climate action planning process provides an opportunity for cities to assess and strengthen their current climate governance structure. The ‘Governance Self-Assessment’ and this guidance document are intended to help cities analyse the potential governance challenges and opportunities for CAP implementation, in order to identify priority needs and actions, both in the short- and long-term. Although the governance structure and enabling conditions will look different for each individual city, coupled with the fact that there is no uniform prescription of good climate governance in practice, this document identifies some of the key principles for strengthening city climate governance, and outlines possible actions to consider.

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Larson, S., Kirono, DGC., Barkey, AR., Tjandraatmadja, G. (2012) Stakeholder Engagement within the Climate Adaptation Through Sustainable Urban Development in Makassar-Indonesia Project, the First-year report, January 2012. Pasay, E., "Addressing Conundrums for Urban Environmental Planning under Climate Change in Mexico City, Mexico and Rosario, Argentina" (2017) International Development, Community and Environment (IDCE). Seattle office of Sustainability and Environment (2012) Green ribbon commission: Recommendations, available at: https://www.seattle.gov/Documents/Departments/OSE/GRCReport_Exec%20Summary.pdf Solecki, W., (2012) Urban Environmental Challenges and Climate Change Action in New York City. Environment and Urbanization, 24, Pp. 557-573. Shakya, C., Cook, K., Gupta, N., Bull, Z., & Greene, S., (2018) Building Institutional Capacity for Enhancing Resilience to Climate Change: An Operational Framework and Insights from Practice. London: Oxford Policy Management; IIED. Steves, F., & Teytelbohm, A., (2013) A Political Economy of Climate Change Policy. SSEE Working Paper. Tanner, T., et al. (2009) Urban Governance for Adaptation: Assessing Climate Change Resilience in Ten Asian Cities. IDS Working Paper 315. World Bank (2017) World Development Report 2017: Governance and the Law. Washington, DC: World Bank. doi:10.1596/978-1-4648-0950-7. License: Creative Commons Attribution CC BY 3.0 IGO.

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