Creating a Climate Smart DFID

Creating a Climate Smart DFID
How to undertake a Strategic Programme Review (SPR) of DFID’s
climate change response in country offices
“If we are serious about development we need to be serious about climate
change” Mark Lowcock, 2011
1.1 Why are we doing SPRs?
The Secretary of State is committed to making all DFID Climate Smart. This means
taking climate change into account in everything DFID does. If we fail to tackle
climate change, progress on development will be reversed.
These reviews will help to ensure that DFID offices are responding strategically to
climate change challenges and opportunities and that they are becoming “Climate
Smart” in all they do.
This is why the DFID business plan commits all country offices to undertake a climate
change Strategic Programme Review in their office by December 2013 (DFID business
plan Combating climate change 2011 to 2015). The SPR is an essential part of making
DFID country offices and DFID Aid Climate Smart.
1.2 CED has prepared this note to guide you through the process of creating a
successful SPR
It will support Heads of Country Offices and SPR country teams to plan and
implement their Strategic Programme Review. In 2009/10 seven countries (Nepal,
India, Bangladesh, Caribbean, Rwanda, Tanzania and, Ethiopia) undertook a pilot
SPR. This guidance builds on lessons from the pilots and also from discussions at the
international workshop on Climate Smart held in DFID May 2011.
We hope that you find this guidance useful and if you want further help with specific
tools or resources please contact Jane Clark ([email protected]) in Climate and
Environment Department, PRD.
An SPR is not…
An SPR is…
A consultant lead report
A report on the science of
climate change
Discussion around business as
An SPR is…a process to enable country heads to
ensure their offices' understand and act on the
challenges and opportunities posed by climate
change, and the availability of climate finance.
Specifically to ensure that your office:
understands these challenges and
A list of everything you are
doing on CC
Tick box exercise to be done to
fulfil corporate requirements
considers the action it wants to take to
address them, with regard to "proofing"
current programmes and its future
investment policy, and secures and
allocates the resources this will require;
ensures that all staff are inspired and
enabled to improve their skills and
knowledge through appropriate and
ongoing learning opportunities;
greens the estates;
is compliant with mandatory corporate
requirements (e.g. Climate and Environment
Assessments for Business Cases and Environmental
Management System (EMS) requirements).
1.3 How to use this guidance?
This guidance is designed to guide you through the process of creating a successful
SPR. It is arranged in five sections which reflect the process of the SPR:
Scoping of your SPR
Planning your SPR
Approach and implementation of the SPR process,
How to monitor and evaluate the SPR
Resources, support and help with your SPR
2.1 What will your SPR cover?
The SPR is designed to ensure offices are facilitating strategic discussions about the
challenges and opportunities of climate change. SPRs will specify action in all four
pillars set out below. Heads of Offices will be expected to take action in all these four
areas across thier programmes (not just climate programmes), but the actions and
level of ambition within these pilliars can be tailored to the needs of the country.
Greening your operations This includes monitoring and reducing your energy use
in the office and in residences, management of your waste, water use, travelling
around in vehicles and planes, and thinking about the ways in which we work e.g.
paper less offices and the use of IT.
Raising awareness, Skills, knowledge, behaviours of all staff.
Proofing present programmes and investments. How low carbon and resilient
are all your programmes?
Design of future investments, what can we do differently in the future? How can
we be transformational and stimulate innovation? How can we build resilience in
an uncertain world?
Pillars of Climate Smart programme
Future investment /policy
radically different thoughts,
Transformational ways of working, climate resilient low carbon growth choices
Emergent/surprising /unknown
‘Proofing’ current programme
Do no harm, integration, entry points , capacity building,
Protecting MDG gains, economics
Skills, Knowledge and
Greening DFID
Also behavioural
Resilience of staff team
Political emotional and rational
Leadership and commitment needed across all pillars,
business processes aligned
Jane Clark DFID
Fig one: Four Pillars of Climate Smart Programme.
2.2 Delivery: what will your SPR deliver?
An SPR process will help you deliver:
Effective development assistance in reducing poverty in a changing climate,
ensuring we do not loose gains made on MDG targets.
Your Sustainable Operations targets (energy, water, travel).
Delivery of effective International Climate Fund programmes.
Production of Operational plans and business cases which reflect climate change
risks, and opportunities in the country and regional programmes.
Raised level of awareness and skills of all staff in CC leading to enhanced
reputation for DFID on climate change action.
Credible and legitimate advice to Governments and other partners to shape
nationally owned climate change strategies and plans.
2.3 The final SPR product
At the end of your SPR the office will have a clear plan of action, with targets. It is
envisaged that this will be a short document which will capture the key findings and
decisions and can make reference to other documents e.g. corporate reporting
documents, consultant reports, workshop reports etc. and operational plans. SPR
progress and reports will be presented to Directors, through the quarterly reporting
channels . Directors will provide an over view of progress to Richard Calvert to
inform of progress and lessons learned. SPR progress will be a standing item at
Senior Climate Champions meetings chaired by Richard Calvert.
3.1 Who should be involved?
Secure leadership at all levels: Your SPR must be lead by the Head of Office and
supported by an SPR team. The size of the team will depend on the size of the
country office, the nature of the country programme and level of ambition. Senior
leadership will catalyse action, but leadership should be identified through out the
office to help people to contribute their ideas and energy and show their
commitment to a climate smart DFID.
Ensure cross cutting input: Climate change can no longer be considered as just an
environmental issue. All staff in the office will be involved (finance, procurement,
programme managers, office services, advisers, especially economists and
infrastructure advisers). Do you have structures and routines or thematic work which
you can tap into? e.g. tap into Thematic meetings, away days, response to HERR and
humanitarian work, thematic teams working on green growth and low carbon
development, win wins around public health and mitigation, and don’t forget to link
into your green team working on estates and residences.
Green teams: You may already have a “green team” in your office, which is actively
working to reduce office energy, waste and water consumption. You can capture the
work of the green teams in your SPR.
Involve others in your SPR: Consider engaging with other HMG offices e.g. FCO in
the SPR. Be aware of others in country (donors, private sector, Government and
NGOs) who may have lessons to share. Understanding the wider stakeholder
environment is important.
3.2 When do I need to do my SPR? How long will it take?
We suggest you allow at least six months to complete SPR process, so you will need
to start by first half of 2013 at the latest. Consider timing: ensure you can link any
changes into up dates of operational plans and new programmes.
3.4 Link your SPR into your core business
Your SPR should not be a bolt on to business as usual. It should be clear how the SPR
links into other corporate plans and strategies with clear links to the office
operational plans. The SPR can help to energise and take forward other related
agendas, such as:
DFID business plan
Response to the Humanitarian Emergency Response Review (HERR) e.g. on the
recommendations around Resilience.1
International Climate Fund (ICF) Strategy
Management Board undertaking to be carbon neutral across our entire estate by
2012 (Link to Management Board paper)
Undertake high quality Climate and Environment Assessments in business
Training and development and building capacity of all staff
Include climate change in regular staff induction programmes
3.5 How ambitious should we be in our response?
As Head of Office you should agree with your Director the level of response or
ambition for the office. Organisations progress through a number of stages or levels
as they respond to climate change. As awareness and competency in an office
develops, offices will be more ambitious and effective in their response. The SPR will
start off a process of staff becoming more ‘climate aware’ and more competent to
The table below sets out suggested descriptions of different “response levels”
against which offices are encouraged to assess themselves: bronze, silver and gold.
You will need to agree the level of response which your office aims to reach with
your Director and when you want to start your SPR by the latest early 2012. This will
help you allocate resources and plan your activities. The aim is for all offices to
progress to the highest level of response possible. All offices will have to comply with
corporate targets and innovate but some offices will aspire to be leaders in the field.
Larger offices will be encouraged to be leaders and aim for gold standard – as they
may well have more potential for high impact outcomes
Offices will rarely be starting from scratch. To reflect this offices can capture
activities which are already going on such as, programmes under development for
ICF funding, mainstreaming of climate change into existing programmes, analysis and
understanding of climate change impacts in country, reductions made in use of
water, energy and transport, active green team in place, or support to staff to reduce
energy in residences, or cross-sector working on low carbon growth programme.
The indicators are suggestive and are not necessarily to be interpreted rigidly. In
some cases offices may also fall into different response levels for different attributes.
Offices could consider facilitated self-assessments involving all staff, both as an
integral part of the SPR itself (i.e. as a means of opening up the process in a
structured way) and in order to establish a baseline assessment against response
First round priority countries where work on resilience is already underway are Ethiopia,
Kenya, Malawi, Mozambique, Bangladesh and Nepal. Second tier, where work is yet to be
defined and could be through working with partners, include Pakistan, Niger, Chad, South
Sudan, Zimbabwe and Burma. This work can be done in association with your SPR.
Response levels 1-3 and evaluation framework
Bronze – Compliant and aware
Building the case , raising awareness and
ensuring corporate compliance – esp. for
office targets
Which means :
Internal awareness raising and lobbying,
external coalitions.
Compliance with targets e.g. energy
targets, SPR s
Identify entry points for responding to cc
e.g. humanitarian response and DRR,
water, health, agriculture, energy
security, infrastructure
Silver – Emergent and active
Fostering action, understanding the
comparative advantage of the office.
Mainstreaming CC opportunities and challenges
into all DFID’s Work
Which means:
Meeting or exceeding targets on compliance.
Which means:
Investment in better understanding CC
effects on development priorities in host
country, at least in key sectors.
Pilot schemes and investments and learning
through M&E
Active visioning, horizon scanning, strategic
management board discussions
Leadership and leverage with others
Leading and proposing stretch targets.
Explore sharing and managing knowledge,
with partners provision of support e.g. DFID
/IDSLearning Hub, Climate and Development
Knowledge Network (CDKN).
Internal awareness/training initiatives
Key Elements and monitoring framework
Responsive to commitments and
mandatory targets.
Gold – Leading the way Innovating
Sets targets and monitors progress; holds
staff to account for improvements
Inspiring others to set and meet ambitious
targets. e.g. partners, governments and MDBs.
Strategic engagement on long term analyses in
country - improving partners' foresight (e.g. LCCR growth analytics, long-term vulnerability
assessments, costs of action/inaction etc)
Drives transformational change based on
understanding of climate science and politics,
underpins all
the four
Greening the
Provides encouragement and space to
learn and experiment and improve.
A clear plan and strategy (Environmental
Management System) is in place that
 A local environmental policy
 specific targets for reducing the
carbon footprint and wider
environmental impact in line with
HMG Greening Govt targets;
 metrics on energy use, waste, travel
and transport;
 processes for managing and
monitoring performance on energy,
water, waste and travel, and regular
reporting to Senior management
Encourages stretch and more ambitious
action through deepening knowledge and
new partnerships.
At least 75% of EMS targets are met year-onyear
Members of staff know how their activities
impact on the DFID carbon footprint, and
know their own personal carbon footprint
personally interacts with policymakers, private
sector and civil society to raise profile and
advocate climate change action.
Head of office is perceived as a leader who drives
innovation and change.
All EMS targets met or exceeded year-on-year
Actively exploring cost-effective options to
further reduce carbon footprint – e.g. solar
panels, etc.
(Where appropriate) Discussions/commitments
on voluntary actions to reduce domestic energy
use/emissions in DFID residential estates
Present and
in bilateral
Skills and
All new programmes climate proofed in
compliance with DFID CC environment
business case guidance (over £400).
Implementing specific climate programmes
through the International Climate Fund (ICF)
Clear strategic shift within overall portfolio
influenced by climate smart considerations.
Measured in the Operational plans and financial
Significant number of other programmes
move beyond minimum “climate
proofing” to identifying positive
opportunities to promote climate change
Following guidelines and using tools.
Carbon calculators, ORCHID
Discussion and dialogue, building
understanding though facilitated
learning, raising awareness of CC and
how CC impacts on different sectors.
Implementing specific climate programmes
through the International Climate Fund (ICF)
Programmes generating tangible results and
lessons which advance knowledge and practice
across DFID or more widely in recipient country
Growing networks of individuals and teams,
expanded beyond CC /environment advisers
into other key sectors, with capacity to
identify and communicate climate change
issues in programmes
Collating evidence, commissioning expert
reports to inform action and strategy.
Established cross sectoral teams and resourced
posts and strong support networks
Staff engaged in internal or external
communications on climate change (e.g. through
presentations, Spotlight articles, blogs etc)
Strategic application of findings from
guidance/tools – e.g. strategic choices or
programme design influenced by analysis of
climate impacts, vulnerability, uncertainty, low
carbon potential etc
Commissioning/writing guidelines and tools, for
the local /regional context.
FIG 2: Modified from IDS In focus Towards ‘Climate Smart ’Organisations 2007, modification based on DFID review of Strategic Programme
Reviews 2011. Informed by the work of Alexander Ballard and SAB Miller Stairway programme
3.6 How much will the SPR cost?
The cost of SPR is not large in terms of budgets, but it does require staff time, time
for workshops and meetings. The average cost of the Pilots was £10,000, with the
range between £4,000 and £15,000. Most cost was on specific consultancy based
inputs. Some countries paid for additional inputs through programme funds (and as
part of training and development). Cost can be kept low if some of the activities are
undertaken with local support and with internal advisers.
Teaming up with FCO or other offices in the region on consultant inputs will help
achieve vfm.
3.7 How much staff time will the SPR need?
It is essential that the Head of office leads the SPR, is visible, and supports the teams
work. When staff spend time contributing to the SPR, please ensure this is planned
for, reflected and rewarded in their performance management reviews.
You will need to have one person co-ordinating the SPR as an anchor point. The time
needed will depend on the ambition of your SPR but at least 10-20% of one persons
time for 6 months. They will be responsible for reporting progress and the
production of the final report.
Consultant inputs may be required for specialist inputs e.g. assessment of risks and
opportunities in your country or region, economics of climate change in your
country, literature reviews and synthesis reviews. Consultants can make valuable
contributions but they can not lead the process.
The approach you take to your SPR will reflect your country situation and your
offices level of ambition agreed with your Regional Director. Below are principles
drawn from the pilots which will help make your SPR effective and some examples of
what others have done.
4.1 Four golden rules from the pilots:
 Office Head to lead.
 Enable time and space for exploration and conversations.
 Set targets and monitor and publish and be held accountable.
 Include Climate Smart as a standing issue to report on at “in days” or weekly
leadership meetings routines.
Below are some examples of approaches taken by pilots and ideas on activities which
worked for those offices.
4.2 What makes an SPR effective?
These principles are drawn from the experience from the pilots:
Varied approach to cover different learning styles and motivations (visual,
practical , academic)
Inclusive across the whole office, listen to all staff and their ideas to improve.
Including space and opportunity for dialogue and exploration.
Office lead and owned not consultant driven.
Well communicated clear accessible language.
4.3 What have other offices done in their SPRS?
Below are examples of activities which pilot offices have undertaken as part of their
SPR, they are included to give you ideas and encourage innovation:
Ethiopia Integration of CC into all work
The DFID Ethiopia approach was to integrate climate change into each step of the
planning process for a new country assistance plan (later superseded by the
operational plans). In addition Ethiopia worked to integrate climate change into
relevant corporate processes e.g. workforce planning, learning and development,
leadership, business processes, corporate planning. Ethiopia office observed that this
systematic approach, which goes beyond programme planning is more time
consuming and requires strong senior management support, but will be more
effective in the long run.
Rwanda Policy dialogue
DFID Rwanda used the SPR to help develop broader policy dialogue on climate
change and low carbon development - particularly around general budget support
and sector budget support programmes, as well as reinforcing our work with the
Office of the President. Reviewing the general budget support programme meant
reviewing the overall Government development plans and that this has given DFID
Rwanda a tool to engage on CC and LCD in every sector.
India Climate Change and Poverty, greening the office and residences
In India, the cross Whitehall climate change unit positioned the SPR as an
opportunity to build a narrative on the interface between climate change and
poverty in India, to feed into discussion about future strategy. Internal follow up to
the SPR is likely to include significant focus on organisational change. An office
greening process was undertaken separately but in parallel with the strategy work.
Electricity monitors were placed in all residences and work done with families to
understand how to reduce energy consumption at home.
Tanzania commissioning studies
DFID Tanzania commissioned a range of analytical studies to inform their SPR, which
included Drivers of Change and Political Economy of climate change. The SPR aimed
to inform a country assistance plan (superseded by the Operational Plan) and to
build staff awareness and capability to address the issues across the portfolio. It also
informed and shaped engagement and future programming on climate change of
DFID Tanzania and other Development Partners. Tanzania summarised all
consultancy reports and analytical work into an options paper with three levels of
ambition for the programme which informed the bilateral aid review bid (BAR)
Caribbean targeting key areas
SPR was designed to target four priority areas -raise staff awareness on local impacts
and issues, inform the development of a green office action plan, evaluate the
programme portfolio and inform the new operational plan.
Bangladesh integrating with the operational plan
DFID Bangladesh conducted the SPR in house through a series of meetings and
workshops looking at climate proofing sectoral programmes as well as greening the
office. The process was integrated with the development of the operational plan
detailing key areas of work across the portfolio. It encouraged staff to consider their
role in contributing to the 10:10 targets and included objectives in their PMFs.
Carbon monitors will be provided for residences.
Nepal staff awareness and training
The DFID Nepal SPR included a staff awareness and training element and also
commissioned analysis to inform a set of options for future engagement in both the
National and Local Adaptation Programme of Action (NAPA and LAPA). Nepal sees its
strategy work on climate as on going and early work is now informing thinking on
resilience programme, reshaping programmes in west and central Nepal.
Reducing Carbon
Examples of activities undertaken to help reduce carbon in overseas offices:
 Introduction of Solar Water Heaters in DFID Rwanda, DFID Kenya and DFID
 Printer Reduction (now 1:8) in DFID Mozambique and DFID Malawi
 Publication of Domestic Residence Utility Bills in DFID Mozambique
 Increase in AC temperature setpoint and decrease in plant operating times in
DFID Bangladesh
 Reduction in number of domestic residences in DFID Burundi
 Water harvesting in DFID Malawi residences.
 Purchase and use of electric car in Kathmandu, Nepal for city driving.
Contact the Environmental Management Team in Sustainable Facilities Management
for more details or contact points.
Engaging all staff in a fun and meaningful way
 India and Palace Street used “games” to illustrate key themes for climate change.
Delhi devised a Sweet Spot game to stimulate discussion moving BAR
interventions towards low carbon climate resilient outcomes. Palace Street held
a games session with Pablo Suarez of the Red Cross Climate change centre on
understanding Climate Risk and Uncertainty
k/Climateandenviroment/PUB_031085) both are excellent ways to engage staff
in some serious fun and learning.
 Ethiopia office ran a series of CC related film nights where they showed films
such as The Age of Stupid
5.1 How do you know you are on track? And how do you know what difference the SPR
Country offices will need to report on results. Offices should conduct a selfassessment to set a baseline and agree targets. Reporting against the Response
Levels matrix shown earlier (and this is recommended), will provide a baseline and
demonstrate progress. A further self-assessment, say one year after the SPR, will
provide a basis for assessing impact.
6.0 Support available to your office
6.1 Internal DFID support
Climate Smart team
This team can provide you
with advice or link you to
people who will be able to
help you with a particular
CED provides policy advice to
country offices on low carbon
development, adaptation,
forestry and international
negotiations and climate
Jane Clark
[email protected]
Policy support and
Mathew Wyatt
Head of CED
[email protected]
Beth Arthy
Head of CESU and ICF
[email protected]
Greg Briffa
Low carbon development Team
[email protected]
Chris Murgatroyd
Adaptation Team leader
[email protected]
Laure Beaufils
Forestry and Environment Team
[email protected]
Malcolm Smart
Senior Economist in CED
Can provide guidance on
economics of climate change
[email protected]
Prof Tim Wheeler
Dep Chief Scientific Adviser
[email protected]
Research and
Chief Adviser climate
change, Livelihoods
and infrastructure
Source of information on
Climate and Environment
Environmental Team,
Operational Sustainability
Yvan Biot
Team leader climate change
[email protected]
John Barrett
Climate change Head of
Gary James
Sustainable Facilities
issues – EMSs, reporting of
carbon footprint, energy
saving initiatives
Head of SFM
[email protected]
Marion Tierney
Leader, Environmental
Management Team
[email protected]
Gary Butlin
Environmental Management
[email protected]
6.1 Internal sources of further information
SPR network
Those offices
which has
competed the
SPR have
offered to help
others and
provide advice
SPR Teamsite
Senior Climate
Economic advice
on Green
More information
Philip Smith
Shan Mitra
Joanne Manda
Magdalena Banasiak
Praveen Wignarajah
Sion McGeever
Simone Banister
[email protected]
[email protected]
[email protected]
[email protected]
[email protected]
S-McGeeve[email protected]
[email protected]
You will find useful resources to share e.g. documents power points and reports
Chaired by Richard Calvert - can support you in organisational change and provide constructive challenge for your teams in lesson
learning and communications. Terms of Reference:
Malcolm Smart [email protected]
the economist in CED is first port of call for economic issues. Economic Guidance for programme design/project appraisal of CC
interventions is available on quest.
Hannah Ryder [email protected]
Senior economist provides specific economic advice and analysis on low-carbon and climate-resilient (green) growth.
Tim Waites [email protected]
DFID Humanitarian Emergency Response Review 2011 - Committment to making resilience a core part of the work of all our country
offices and to show international leadership on this important area of work. The SPR provides an opportunity to build capacity across
DFID on building resilience.
6.3 Some resources and ideas to help you and get you started
Tools for influencing low carbon
More information
Cabinet office, Mindspace: influencing behaviour through public policy
Down load here
DEFRA 4 E tool: Enable - Encourage - Exemplify - Engage: DEFRA sustainable-life-framework.
Framework for questioning: Four As (used and modified in Nepal to help dialogues). As a group/ cadre/team
Tool to help shape initial dialogues
Tools for Scenario planning
Tools for measuring carbon foot
print and helping you to save
Awareness (what do we need to know?)
Agency (what do we need to do and is in our power to do?)
Association (who do we need to do it with?)
Action (what do we need to do?)
Forum for the Future, with DFID, have prepared a number of scenarios for low income countries in a climatechanging world.There area a range of supporting materials, including audio visuals are available for down load from:
Carbon Trust are a not-for-profit company providing specialist support to help business and the public sector boost
business returns by cutting carbon emissions, saving energy and commercialising low carbon technologies.
DECC Carbon Calculator
6.4 Resources to learn more about climate change
More information
DFID climate blogs
Climate Development Knowledge
Network (CDKN)
Supports decision makers in the design, delivery of climate compatible development through research, advisory
services and knowledge management.
CDKN Policy Briefs
World Bank Portal
Specifically the Economics of Adaptation to climate change Synthesis report
Met office
A good source of information on the basic science.
Prof. Kevin Anderson Audio
(Produced by DFID)
Kevin talks through moving beyond 2°C rise in temp, Climate Change Going beyond dangerous his work puts forth the
view that there is now little to no chance of maintaining the rise in global mean surface temperature at below 2°C,
despite repeated high-level statements to the contrary. Moreover, Kevin’s research demonstrates how avoiding even
a 4°C rise demands a radical reframing of both the climate change agenda and the economic characterisation of
contemporary society.
6.5 A selection of inspiring/interesting broad case studies
More information
Lots of case studies and news to be found at
AlertNet Climate Change
Caroline Fiennes' (ED of Global Cool
- a sustainability communications
Subscribe to email up dates or Facebook. Website of the Thomson Reuters Foundation focuses on the humanitarian
and development impacts of climate change. The site combines on-the-ground reports, analysis and blogs by
Reuters and AlertNet staff, freelance writers around the developing world, leading climate thinkers, researchers,
policy makers and aid workers.
TED talk on how to persuade people to do something about climate change without telling them to
(their paper on the same topic is also attached here:
Solitaire Townsend (co-founder of
Futerra - a sustainability
communications outfit)
Ltters to CEOs of big businesses on how to change their business models to do more about poverty, climate change
and natural resources:
Ben Caldecott's article on the Bank
of England
Hw the Bank of England could help deliver higher low-carbon investment:
Why own a bike if you can share
HBR Podcast with Don Tapscott on new "collaborative consumption" models:
How education could be going more
Inthe Republic of Korea:
6.6 And some useful background
More information
World Economic Forum
high-level panel discussion (including UN SG Ban-Ki Moon, President Calderon and Bill Gates) on sustainability:
WEF/Deloitte paper on sustainable
This PDF includes some interesting examples of “disruptive innovation” from the private sector:
Guardian's Q&A on climate change
One for the layman:
The Guardian Sustainable Business
Thinking about business and private sector involvement? This has stories on business response to sustainable
development issues: