Planning & Implementation - Advanced

Your organisation has developed and is now implementing an adaptation strategy and action plan. This coordinates and integrates adaptation into relevant projects, policies and plans across your organisation and with partners. There is an appraisal of adaptation options that places them within a strategic context, aligned with your organisation’s adaptation goals/outcomes. This enables effective prioritisation and sequencing of adaptation measures.

Capability Stages

Starting 1 Intermediate 2 Advanced 3 Mature 4

PI3A Develop a strategic change process for achieving adaptation outcomes

Developing a strategic approach to adaptation allows you to take account of complexity and uncertainty over the long-term. Using methods like ‘adaptation pathways’ or ‘theory of change’ you can explore a range of possible options over time – and the potential role of your organisation.

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Subtasks

Learn about Adaptation Pathway and Theory of Change tools. Find out more about each and identify how they could support your adaptation work.
- Theory of Change
  - A Theory of Change is a strategic planning tool that encourages an outcomes focused approach to adaptation. The process of developing a Theory of Change begins with looking at the big picture or long-term outcome and then identifying the steps needed to achieve the outcome using a causal pathway of actions. For each action relevant assumptions, thresholds and indicators should be identified. Find out more about Theory of Change here.
- Adaptation Pathways
  - An applied adaptation pathway is a way of identifying, appraising and sequencing adaptation options through a participatory process. A key part of the pathways approach is identifying trigger points and / or thresholds which would lead to a decision point. Adaptation Pathways are developed using visual tools or route maps that enable stakeholders to test options for different potential futures and level of acceptable risk. They illustrate a range of adaptation options and set out how these may be sequenced over time, by highlighting what options should be acted upon immediately and which should occur in the future. Find out about adaptation pathways using the links provided at the bottom of the page.
Develop a theory of change. There isn’t a set a standardised method to develop a Theory of Change, however common elements include:
- Identify the goal, long-term outcome or vision. Create a concise and direct statement outlining what you are working towards. This will serve as a catalyst for future planning. Develop a pathway of change. From the identified goal, work backwards in time from it identify specific steps or outcomes to be completed along the way. In relation to each step, query what the preconditions for each are. These preconditions will then become outcome statements/ steps to be addressed nearer in time,#
- Operationalise outcomes. Think about how to illustrate the achievement of the outcomes you have identified. Select indicators along with thresholds which demonstrate progress along the causal pathway identified.
- Define interventions. Begin to plan activities. Scope your work programme into actionable actions and those that are beyond the current reach.
- Articulate assumptions. Assumptions will arise around the required and sufficient conditions to achieve success, and may be influence around personal values, experiences, research and evidence or the local context. For full detail on these steps and more information on Theory of Change (ToC) approach for climate adaptation, read ‘ Guidance note 3: Theory of Change approach to climate change adaptation programming’ by UKCIP.
Develop adaptation pathways
- The Adaptation Pathways Network have developed a useful users guide to Adaptation Pathways including an overview of key Steps and illustrated examples of completed pathway diagrams. Download the guide and find out more here: http://www.adaptationpathways.net/

Resources

Guidance Note 3: Theory of Change Approach to Climate Change Adaptation Programming(2014) – UKCIP – Bours, McGinn and Pringle

A user’s Guide to applied Adaptation Pathways

Flexible Adaptation Pathways (2012) by Moss and Martin

Making Space for Proactive Adaptation of Rapidly Changing Coasts: A Windows of Opportunity Approach (2017) by Brown, Naylor and Quinn

‘What is a pathways approach to adaptation?’ – Coast Adapt

PI3B Appraisal of adaptation options

An appraisal process will allow your organisation to consider a range of factors when selecting and prioritising from an emerging set of adaptation options. This will help identify robust, acceptable, efficient and effective measures that can be taken forward in an action plan.

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Identify and develop further adaptation actions.
- Review the expanding evidence base (Tasks UC3B and UC3C). The more systematic and in-depth review and analysis undertaken to develop the risk assessment(s) will help identify more actions which will need to be taken to address highlighted risks and opportunities.
- Assess the effectiveness of actions you have already started or completed (PI2C Take action to deliver initial adaptation measures, options or actions) to understand which actions may or may not be most appropriate or effective.
- Review your adaptation goals and vision, theory of change and / or Adaptation pathways (Tasks PI2A and PI3A) and consider what further action is needed in light of the risks and opportunities and, strategic approach that has been agreed.
- Where actions are taken in partnership, involve your partners and wider stakeholders in action identification and review (Task WT3B).
Select assessment criteria relevant for your organisation, this will depend on your organisational context and situation. Potential factors to assess against include:
- Resource availability – are there sufficient human, financial or physical resources for this option to be undertaken?
- Organisational feasibility – how likely is it that the option would be supported and successfully implemented in your organisation? To what extent does it align with wider organisational priorities or objectives?
- Efficacy – how effectively will the option address climate impacts
- Costs – what are the up-front costs, upkeep and maintenance costs and are there are non-economic (i.e. social and/or environmental) costs?
- Co benefits – Are there wider, additional social, economic and environmental benefits or mitigation benefits?
- Decision scale – can your organisation make or implement this option or would it require buy in from other organisations or higher level of governance or decision making?
- Level of risk– is it low regret, no regret or win-win?
- Flexibility – can you alter the action in light of new information?
- Timing/ Urgency – would the option be best implemented now or in the future?
- Climate Justice – how does the option affect vulnerable groups or individuals?
- Score each option against the selected criteria.
  - This may require hosting a workshop or meeting to bring together relevant department heads or key decision makers to get there feedback and scores.
  - Decide on the weighting associated with each of the selected criteria.
If appropriate, use decision support tools, such as:
- Economic appraisals
- Cost benefit analysis
- Cost effectiveness analysis
- Multi criteria decision analysis
- Adaptation pathways assessment
Explore tool such as the CIRIA Benefits of Suds Tool . Examples of actions and how to appraise them can be found in the RESIN Adaptation Options Database Model Handbook
Go through each option one by one assessing against the chosen criteria. Record your decision making process in a transparent fashion so that governance group and decision makers can assess the structured appraisal for each of the options in relation to selected criteria and why actions have been prioritised over the short, medium and long term.
Prioritise options for implementation.
- Prioritisation will be based on how well each option performed against your set criteria and associated weightings.
- Seek input from stakeholders. Engaging a variety of stakeholders with different perspective to assess decisions will aid thinking about how to maximise low regret options, maintain flexibility in approach and avoid ‘locking-in ‘ climate vulnerability.
If required, build a business case for prioritised/ selected actions.
- Once you have identified and narrowed down potential adaptation options, building the base case for the selected options will develop your understanding, enable project planning and achieve support and resources. Business case may include how you will measure and monitor success. Business case should lay out the strategic, management and economic case for the actions selected.

Resources

Check out RAMES Transition Handbook and Training Package here

Decision-Making for climate change adaptation: A Systems Thinking Approach by NCCARF

HM Treasury- The Green Book: Central Government Guidance on Appraisal and Evaluation

PI3C Develop a comprehensive adaptation strategy and action plan

A ‘comprehensive’ adaptation strategy and action plan draws together knowledge of climate risk and appraised adaptation options – to translate your strategic objectives into practical action. It should coordinate and integrate adaptation into relevant projects, policies and plans across your organisation and with partners.

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It is helpful to use theory of change and adaptation pathway tools (Task PI3A) to develop a comprehensive adaptation strategy / action plan. These tools are designed to translate high level outcomes/adaptation ambition in to objectives and action.
Stakeholder engagement is crucial in securing support and commitment to implementing the strategy/ plan. Consider procedural justice as a key aspect of stakeholder engagement –how can you ensure that hard to reach groups such as children and young people, are able to contribute to the planning process?
All actions included in the final strategy/ plan should go through a detailed options appraisal process (Task PI3B). Ensure each action has clear ownership, targets, measures of success and timelines for implementation and completion as well as relevant milestones.
Seek approval or endorsement from your organisation and buy in from all departments or individuals assigned any actions.
- A Strategic Environmental Assessment (SEA) may need to be completed for the strategy.
Use the publication of the final action/plan strategy to build further awareness and support for implementation. Infographics can be used to clearly communicate key facts/messages contained within the strategy/ plan. A briefing for senior leaders will also be important. Discuss publication of the strategy/ plan with your organisations press/communication team and develop a press release.

PI3D Implement a programme of adaptation actions

Your organisation should now be ready to implement a range of prioritised adaptation actions – with appropriate resources allocated. The actions should contribute to achieving your adaptation outcomes, with suitable monitoring and evaluation to learn from experience.

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Procurement and contractual arrangements – implementing more advanced adaptation actions is likely to require procurement of goods and services. This might involve commissioning in-depth risk assessment work or ensuring that adaptation is factored in to procurement and contracts for specific projects and/ or services.
- Review the adaptation actions that are scheduled for implementation and identify the procurement and contractual requirements for each.
- Discuss procurement and contractual arrangements with those responsible for delivering actions and identify whether there are likely to be any challenges involved with factoring adaptation in to the procurement processes that are being used. Identifying any challenges early on in the procurement process will enable you to find solutions and reduce delays with implementation.
Financing – in some cases adaptation actions will be financed as part of larger project/ financing arrangements. Ensure that you are familiar with how the adaptation actions are factored in to the business case for these projects. Make sure that you are aware of key approval/ decision processes where decisions will be made that could affect financing and implementation of adaptation components. You will need to continue to advocate and provide evidence to support the ongoing inclusion of adaptation as projects are implemented over multiyear time frames and budget availability changes.
Training – identify whether your organisations/ partners have the skills needed to implement the adaptation actions that have been agreed. Where needed, identify training and skills development needs and seek to address these. This may be supported by working adaptation champions (Task OC3B).
Communication – develop a communication strategy to raise awareness of adaptation on an ongoing basis. Share good news stories about the successful implementation of adaptation actions to build support for future actions.
Monitoring and evaluation - Monitor and evaluate effectiveness of actions considering both process and outcome indicators.Consider the following:
- How well was the action implemented?
- Was it delivered on time and on budget?
- Have the anticipated benefits of the action been realised?
- What additional benefits has the action delivered?

Resources

The Tweed Forum

Green Infrastructure Projects

Case study of Restoring peatlands with RSPB

The Avenues Project in Glasgow City

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