aid to adapt - university of malta · ‘aid to adapt. the sensitivity of eu aid to adaptation to...

AID TO ADAPT

THE SENSITIVITY OF EU AID TO

CLIMATE CHANGE ADAPTATION IN

SMALL ISLAND DEVELOPING STATES

[email protected]

1

mailto:[email protected]

1. Introduction

2. Methodological note

3. Principle of EU Development policy

4. Instruments and Aid Delivery in EU Development policy

5. Climate Change Adaptation and Development:

Mainstreaming Efforts and Financial flow to SIDS

6. Conclusions

CONTENTS

STEFANO MONCADA - Ph.D. RESEARCH ‘AID TO ADAPT’ 2

INTRODUCTION

METHODOLOGICAL NOTE

PRINCIPLES OF EU DEVELOPMENT POLICY

EU INSTRUMENTS AND AID DELIVERY

EU MAINSTREAMING EFFORTS AND FINANCIAL FLOW TO SIDS

CONCLUSIONS

PHD OVERALL RESEARCH

PAPER PART OF A PHD ENTITLED

‘Aid to Adapt. The Sensitivity of EU Aid to Adaptation to Climate

Change in Small Island Developing States - Implications for

Development’

BUILDS ON A FIRST PAPER PRESENTED AT THE ICP

WORKSHOP IN COLOGNE (APRIL 2011)

Where concept and case for the Mainstreaming Plus theory in the

context of SIDS was established

3

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS

PHD OVERALL RESEARCH

THIS PAPER FOCUSES ON

EU aid effectiveness vis-à-vis increasing adaptive capacity through

mainstreaming climate change adaptation into ODA, with a focus

on SIDS that are also LCDs

4

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS

FIELD & DISCIPLINES

EUROPEAN STUDIES

Role of European Commission & Effectiveness of Policy

DEVELOPMENT ECONOMICS

Aid Allocation and Effectiveness

CLIMATE CHANGE ADAPTATION (?)

Mainstreaming plus theory

DEFINITIVELY SOCIAL SCIENCES

5

IMPORTANCE OF THE SUBJECT: SIDS

LOW LYING & ISLAND NATIONS WITH COMMON

DEVELOPMENTAL CHALLENGES

6

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS

IMPORTANCE OF THE SUBJECT 7

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS

METHODOLOGICAL NOTE

LITERATURE REVIEW WITH INTENTION TO IDENTIFY GAPS

EU AID FINANCED UNDER THE GENERAL BUDGET

EXCLUDING EDF

LIMITATIONS AND AWARENESS

8

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS


Prior to 2000 objectives were not explicit and aid coordination poor

Statement on Development and MDGs (2000) prompted EU to adopt

European Consensus on Development (2005) which introduced

concepts such as harmonisation & coordination of aid

2005 Aid effectiveness communications

i. Enhancing knowledge base; ii. administrative harmonization

iii. Increasing co-ordination

Policy Coherence for Development & 2007 Code of Conduct on

Complementarity and Division of Labour

9

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS

EU AID INSTRUMENTS

Reform reduced aid instruments from 35 to 10

Geographic and Thematic Areas

Most SIDS are financed through EDF and DCI

Through Joint Multi-annual Programming (JMP) based on Poverty

Reduction Strategies (PRS) and Country Strategy Papers

Shifting away from projects, favoring budget support and sectoral

approach

10

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS

11

Instrument Coverage Replaces Funding & % of Total Aid

Tenth EDF Africa, Caribbean and Pacific (ACP) and Overseases Countries and Territories (OCT)

Ninth EDF 22,682 (32)

Development Cooperation Instrument (DCI)

Asia, Latin America, some CSI, South Africa; five thematic budget lines

ALA, TACIS, ten thematic budget lines

16,897 (24)

Humanitarian Aid Humanitarian crises Largely unchanged 5.613 (8)

Instrument for stability Crisis response and preparedness; global challenges

Rapid Reaction Mechanism 2,062 (3)

European Instrument for Democracy and Human Rights Initiative (EIDHR)

Democracy, rule of law, human rights

Previous EIDHR regulation 1,103 (2)

Instrument for Pre-Accession (IPA)

Western Balkans, Turkey PHARE, ISPA, SAPARD, CARDS, Turkey pre-accession

11,468 (16)

European Neighborhood and Partnership Instrument (ENPI)

Mediterranean, Eastern Europe, Caucasus, Russia, the Middle East

MEDA and TACIS 11,181 (16)

Macro-economic assistance Case by Case Unchanged NP

Instrument for Cooperation with Industrialised countries (ICI)

Cooperation and exchange programmes

Previous ICI regulation 172 (0.2)

Instrument for Nuclear Safety Cooperation (INSC)

Nuclear safety Part of TACIS regulation About 75 per year (<than 1) Source : Carbone 2007, DAC 2007

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS

EU AID ALOCATION & EFFECTIVENESS

EU Aid allocation and effectiveness literature focuses on growth,

governance, poverty alleviation, vulnerability

Little focus on climate change adaptation

This is due to difficulty in measuring effective adaptation

But also tendency to measure volume of aid & climate-related aid

rather than assessing all ODA

EU aid through budget found to be little poverty oriented

EDF more poverty oriented (vis-à-vis HDI)

This might negatively effect the capacity to adapt

12

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS

EU VS. MAINSTREAMING

2004 Action Plan Climate change in the context of development

cooperation

Funding coming through the Environment and Natural Resources

Thematic Programme (ENRTP)

2007 Global Climate Change Alliance priorities SIDS & LCDs

But little funding is provided and not coordinated with other ODA

13

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS


(Behrens 2008) aid initiatives fragmented and dispersed

Need to have more transparent reporting mechanisms, including

tools for climate proofing all other aid programmes and initiatives

(Klein 2008) key role of GCCS but more & additional resources

(Huq and Ayers 2008) ODA can building adaptive capacity

particularly in LCDs and SIDS. 4-step approach & EU ODA could

increase its effectiveness vis-à-vis adaptation and development

objectives.

14

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS


(Ayers et al. 2010) EU should address shortfall in its overall aid

delivery system.

(Persson 2009) With budget support less options to influence

mainstreaming in the receiving country

Literature on EU aid flows to SIDS that are also LCDs is scarce

Few studies available on mainstreaming efforts in SIDS, and existing

tend to refer to a limited selection of case studies and often within

projects sponsored by multi-donors.

15

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS

CONCLUSION POINTS

1. Profound transformation of EU development policy

2. Post-2000 focus on poverty reduction and recently on its links with CC

3. Aid delivery system reformed but still doubts on how its low poverty

oriented focus affects the adaptive capacity of SIDS

4. Increased attention to climate change adaptation in the context of

development, but EU’s mainstreaming efforts appear to be weak, and

at times disjointed from aid operations on the ground.

16

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS

CONCLUSION POINTS

5. Budget and sectoral support at expenses of projects de facto weakens

effective monitoring of mainstreaming actions in receiving countries

6. Lack of proper monitoring and evaluation instruments to assess all

ODA, and not only the climate related ones

17

INTRODUCTION

METHODOLOGICAL NOTE




CONCLUSIONS

FUTURE RESEARCH & QUESTIONS

Next phase of the research focuses on EU aid flow to SIDS that are also

LCDs (10) testing the mainstreaming plus theory.

Budget-Secroral Vs. Projects is still a doubt!

18

Arts, K. & Dickson, A.K. 2004, EU Development Cooperation: From Model to Symbol, Manchester Univiversity Press, Manchester.

Ayers, J., Huq, S. & Chandani, A. 2010, "Assessing EU Assistance for Adaptation to Climate Change in Developing Countries: a

Southern Perspective", The New Climate Policies of the European Union: Internal Legislation and Climate Diplomacy, , pp. 231.

Ayers, J.M. & Huq, S. 2009, "Supporting Adaptation to Climate Change: What Role for Official Development Assistance?",

Development Policy Review, vol. 27, no. 6, pp. 675-692.

Ayers, J. & Forsyth, T. 2009, "Community-Based Adaptation to Climate Change", Environment, vol. 51, no. 4, pp. 22-31.

Baulch, B. 2006, "Aid distribution and the MDGs", World Development, vol. 34, no. 6, pp. 933-950.

Baulch, B. 2003, Aid for the Poorest?: The Distribution and Maldistribution of International Development Assistance, Chronic poverty

research centre (CPRC), Manchester.

Behrens, A. 2008, Financial Impacts of Climate Change: An Overview of Climate Change-related Actions in the European

Commission’s Development Cooperation, CESP Working Document No. 305, Brussels.

Brown, W. 2002, The European Union and Africa. The Restructuring of North-South Relations, I.B. Tauris, New York.

Carbone, M. 2008a, "Introduction: The new season of EU development policy", Perspectives on European Politics and Society, vol. 9,

no. 2, pp. 111-113.

Carbone, M. 2008b, "Mission impossible: the European Union and policy coherence for development", Journal of European

Integration, vol. 30, no. 3, pp. 323-342.

Carbone, M. 2008c, "Theory and practice of participation: civil society and EU development policy", Perspectives on European

Politics and Society, vol. 9, no. 2, pp. 241-255.

Carbone, M. 2007, The European Union and International Development: The Politics of Foreign Aid, Routledge, London.

Cini, M. 1996, The European Commission: Leadership, organisation, and culture in the EU administration, St. Martin's Press, New

York.

Clemens, M. & Radelet, S. 2003, "The Millennium Challenge Account: How much is too much, how long is long enough?", Working

Papers Center for Global Development, vol. Washington., no. 23.

Cogneau, D. & Naudet, J.D. 2007, "Who Deserves Aid? Equality of Opportunity, International Aid, and Poverty Reduction", World

Development, vol. 35, no. 1, pp. 104-120.

Collier, P. & Dollar, D. 2002, "Aid allocation and poverty reduction", European Economic Review, vol. 46, no. 8, pp. 1475-1500.

Collier, P. & Dollar, D. 2004, "Development effectiveness: what have we learnt?*", The Economic Journal, vol. 114, no. 496, pp. F244-

F271.

DAC 2008, Development Cooperation Report 2007, OECD, Paris.

Dearden, S. 2011, "Current issues in EU aid policy", European Development Policy Study Group, Discussion Paper 39, , pp. 1-29.

Dearden, S. 2009, "An Analysis of European Commission Administered Country Aid Allocations", European Development Policy

Study Group, Discussion Paper 38, , pp. 1-33.

BIBLIOGRAPHY

19

Dearden, S. 2008, "Introduction: European Union development aid policy—the challenge of implementation", Journal of international

development, vol. 20, no. 2, pp. 187-192.

Dodman, D. & Mitlin, D. 2011, "Challenges for community-based adaptation: discovering the potential for transformation", Journal of

International Development, , pp. n/a-n/a.

Dollar, D. & Levin, V. 2004, The Increasing Selectivity of Foreign Aid, 1984-2002, World Bank Policy Research Working Paper 3299,

Washington.

Domar, E.D. 1946, "Capital Expansion, Rate of Growth, and Employment", Econometrica, vol. 14, no. 2, pp. pp. 137-147.

Dumaru, P. 2010, "Community‐based adaptation: enhancing community adaptive capacity in Druadrua Island, Fiji", Wiley

Interdisciplinary Reviews: Climate Change, vol. 1, no. 5, pp. 751-763.

ECORYS-NEI 2007, EU action Plan on Climate Change and Development: 1st Bi-annual Progress Report (2004-2006), ECORYS-

NEI, Rotterdam.

European Commission 2011, Enhancing EU Accountability on Financing for Development towards the EU Official Development

Assistance Peer Review, COM(2011) 218 final edn, European Commission, Brussels.

European Commission 2010, EU Development policy in support of Inclusive Growth and Sustainable Development COM2010-629,

European Commission, Brussels.

European Commission 2007a, Building a Global Climate Change Alliance between the European Union and poor developing

countries most vulnerable to climate change, COM(2007) 540 final edn, European Commission, Brussels.

European Commission 2007b, Code of Conduct on Complementarity and Division of Labour in Development Policy, COM(227)72

edn, European Commission, Brussels.

European Commission 2007c, Environmental Integration Handbook for EC Development Cooperation, Europe Aid edn, European

Commission, Brussels.

European Commission 2007d, EU report on policy coherence for Development. Commission Staff working Paper, COM(2007) 545

final edn, European Commission, Brussels.

European Commission 2006a, EU Aid: Delivering More, Better and Faster, COM(2006)87 edn, European Commission, Brussels.

European Commission 2006b, Financing for Development and Aid Effectiveness, COM(2006)85 edn, European Commission,

Brussels.

European Commission 2006c, Increasing the Impact of EU Aid: A Common Framework for Drafting Country Strategy Papers and

Joint Multi-annual Programming, COM(2006)88 edn, European Commission, Brussels.

European Commission 2005a, The European Consensus on Development, Joint statement, No. 14820/05 edn, European


European Commission 2005b, Policy Coherence for Development – Accelerating progress towards attaining the Millennium

Development Goals, COM(2005)134 final edn, European Commission, Brussels.

20

BIBLIOGRAPHY

European Commission 2005c, Qualitative Assessment of the Reform of External Assistance, SEC(2205)963 edn, European


European Commission 2003, Climate Change in the Context of Development Cooperation, Communication from the Commission to

the Council and the European Parliament, COM(2003) 85 edn, European Commission, Brussels.

European Commission 2000a, Communication to the Council on the Reform of the Management of External Assistance, Rev 8 edn,

European Commission, Brussels.

European Commission 2000b, The European Community’s Development Policy, COM(2000) 212 edn, European Commission,

Brussels.

European Council 2004, Climate change in the context of development cooperation, Document 15164/04 edn, Council of the

European Union, Brussels.

Faber, G. & Orbie, J. 2008, "The new trade and development agenda of the EU", Perspectives on European Politics and Society, vol.

9, no. 2, pp. 192.

Gavas, M. 2010, Financing European development cooperation: the Financial Perspectives 2014-2020, Background Note edn, ODI,

London.

Greig, A., Hulme, D. & Turner, M. 2007, Challenging Global Inequality: Development Theory and Practice in the 21st Century,

Palgrave Macmillan, Basingstoke.

Grilli, E.R. 1993, The European Community and the developing countries, Cambridge University Press.

Guillaumont, P. & Chauvet, L. 2001, "Aid and performance: a reassessment", Journal of Development Studies, vol. 37, no. 6, pp. 66-

92.

Hansen, H. & Tarp, F. 2000, Aid Effectiveness Disputed, Tarp F. Foreign aid and development: lessons learnt and directions for the

future edn, Routledge, London.

Holden, P. 2009, In Search of Structural Power: EU aid policy as a global political instrument, Ashgate Publishing.

Holland, M. 2002, The European Union and the Third World, Palgrave.

Huq, S. & Ayers, J. 2008, "Streamlining adaptation to climate change into development projects at the national and local level",

European Parliament (2008) Financing climate change policies in developing countries.European Parliament, Brussels, .

Kelman, I., Mercer, J. & West, J.J. 2009, "Combining different knowledges: community-based climate change adaptation in small

island developing states", Participatory Learning and Action, vol. 60, no. 1, pp. 41-53.

Klein, R.J.T. 2008, "Mainstreaming climate adaptation into development policies and programmes: a European perspective",

European Parliament, Financing Climate Change Policies in Developing Countries. European Parliament, Brussels. PE 408.546 IP/A/

CLIP/A/CLIM/ST/2008-13., , pp. 38–50.

Klein, R.J.T., Eriksen, S.E.H., Næss, L.O., Hammill, A., Tanner, T.M., Robledo, C. & O’Brien, K.L. 2007, "Portfolio screening to

support the mainstreaming of adaptation to climate change into development assistance", Climatic Change, vol. 84, no. 1, pp. 23-44.

21

BIBLIOGRAPHY

Kosack, S. 2003, "Effective aid: How democracy allows development aid to improve the quality of life", World Development, vol. 31,

no. 1, pp. 1-22.

Lister, M. 1997, The European Union and the South: Relations with Developing Countries, Routledge, New York.

Mackie, J. 2008, "Continuity and change in international co-operation: The ACP-EU Cotonou Partnership Agreement and its first

revision", Perspectives on European Politics & Society, vol. 9, no. 2, pp. 143-156.

McGillivray, M., Feeny, S., Hermes, N. & Lensink, R. 2006, "Controversies over the impact of development aid: it works; it doesn't; it

can, but that depends ?", Journal of International Development, vol. 18, no. 7, pp. 1031-1050.

Mitchell, G. 2009, European Parliament, Committee on Development, Draft Report on the proposal for a regulation establishing a

financial instrument for development cooperation, (2009/0060A(COD)) edn, European Parliament, Brussels.

Mosley, P. 1987, Overseas aid: its defence and reform, Wheatsheaf Books, Brighton.

Mürle, H. 2007, Towards a division of labour in European development cooperation: Operational options. Discussion Paper No.

6/2007, German Development Institute, Bonn.

OECD 2010, Development Cooperation Report 2011, OECD, Paris.

OECD 2007, Development Co-operation Review, European Community, Development Assistance Committee, Paris.

Palerm, J., Ledant, J.P. & Brinn, P. 2007, "Environmental integration in European Commission development co-operation

programming: experiences in the use of country environmental profiles", Impact Assessment and Project Appraisal, vol. 25, no. 3, pp.

163-174.

Payne, A. 2005, The Global Politics of Unequal Development, Palgrave Macmillan, Basingstoke.

Persson, Å. 2009, "Environmental policy integration and bilateral development assistance: challenges and opportunities with an

evolving governance framework", International Environmental Agreements: Politics, Law and Economics, vol. 9, no. 4, pp. 409-429.

Persson, Å. & Klein, R.J.T. 2009, "Mainstreaming adaptation to climate change into official development assistance: challenges to

foreign policy integration" in Climate Change and Foreign Policy: Case Studies from East to West, ed. Paul G. Harris, Routledge,

London, pp. 162-177.

Peterson, J. 1999, "The Santer era: the European Commission in normative, historical and theoretical perspective", Journal of

European Public Policy, vol. 6, no. 1, pp. 46-65.

Picciotto, R. 2002, "The logic of mainstreaming: A development evaluation perspective", Evaluation, vol. 8, no. 3, pp. 322-339.

Serrano, K. 2011, "The trade–development nexus in EU–Pacific relations: realism, dependence or interdependence?", Global

Change, Peace & Security, vol. 23, no. 1, pp. 89-112.

Svensson, J. 1999, "Aid, growth and democracy", Economics & Politics, vol. 11, no. 3, pp. 275-297.

UNFCCC 1992, United Nations Framework Convention on Climate Change, United Nations, New York.

White, H. 1992, "The macroeconomic impact of development aid: A critical survey", Journal of Development Studies, vol. 28, no. 2,

pp. 163.

22

BIBLIOGRAPHY

24TH Ph.D. Workshop on

International Climate Policy

Spring 2012

Freiburg, Germany

jointly organized by

University of Freiburg &

Fraunhofer Institute for Solar Energy Systems

Announcement

Don‘t know Freiburg yet?

Preliminary Time Schedule

• Call for Papers (published via email lists)

End of January/February 2012

• Abstract submission

February 2012

• Notification of acceptance/rejection

March 2012

• ICP-Workshop

Preliminary date: May, 3-5 2012

ACTIVITIES FOR THOSE WHO

STAY

• OCTOBER FEST AND CONCERT OF LOCAL BANDS

http://www.mfcc.com.mt

• THEATRE & MUSICAL

http://www.mcc.com.mt/?m=events&id=97

• ROLEX SAIL RACE

• http://www.rolexmiddlesearace.com/

• INFO ON http://www.whatson.com.mt/

http://www.mfcc.com.mt

http://www.mcc.com.mt/?m=events&id=97

http://www.rolexmiddlesearace.com/

http://www.whatson.com.mt/

aid to adapt - university of malta · ‘aid to adapt. the sensitivity of eu aid to adaptation to...

Documents