Opiniones y testimonios sobre la situación de las personas con discapacidad visual en

UNFCCC Convention (4.5.1) UNFCCC Available on UNFCCC website UNFCCC COP reports

(4.5.1) UNFCCC All available on UNFCCC website Daily Earth Negotiations

Bulletin commentaries from COPs and other UNFCCC meetings (4.5.2)

International Institute for Sustainable Development

Available on IISD website for the UNCED and UNFCCC meetings dating back to INC- 11 in 1995 (before COP-1) Submissions by Parties and

other UNFCCC procedural documents (4.5.3)

UNFCCC Relevant submissions and other documents can be obtained from UNFCCC document portal

Secondary sources and other UNFCCC reports (4.5.4)

Library and other scholarly sources, NGO and research

organisation websites.

N/A

4.5.6 Process

Gathering processual data will involve several stages:

1. Source material: The UNFCCC Convention document and both contemporary and later commentary on the treaty and the two-year process of its design under the Intergovernmental Negotiating Committee set up by the UN General Assembly.

Objective: Systematically identifying policy clauses and wording related to

institutional design generally and to climate finance specifically. This includes the foundation of the financial mechanism and selection of the GEF but also other, less immediately significant sections that are linked or refer to, or have potential implications for, how actors will relate to each other.

Process: Manually reading through the Convention document and extracting clauses identified as relevant to climate finance and institutional design.

2. Source material: UNFCCC reports from annual climate negotiations (COPs) since 1995 and negotiations under the Kyoto Protocol (CMP) once these began in 2005. Official COP and CMP reports contain the high-level policies agreed by all UNFCCC Parties, which set expectations of action that Parties should take, underpin the creation, implementation and oversight of policies by UNFCCC sub-bodies, and guide creation of subsequent policy.

Objective: Analysis of Articles (policies) and other sections relevant to climate

finance, to create a comprehensive catalogue of UNFCCC climate finance policy output. This output is a vital part of the institutional “rules” that form the structure in which actors are operating and an accurate and comprehensive collection of data is essential to identify continuity and change in policy design and how policy output reflects what actors and coalitions seek to achieve.

Process: Work through the policy documents manually, copying or summarising relevant sections/paragraphs of policy into Microsoft Excel spreadsheet. After completing each document, check for missed references or paragraphs by searching for these key words: “financ” (to cover finance and financial), and “fund” (to cover fund and funding).

3. Source material: Daily commentaries from COPs and other intermediate UNFCCC meetings produced by Earth Negotiation Bulletin, part of the independent International Institute for Sustainable Development. These documents are the closest to meeting minutes that is available for UNFCCC negotiations and conferences. A 2-4 page report is produced each day for UNFCCC COPs and intermediate meetings, dating back to the UNCED and recommencing with INC-11 before the first COP in 1995, and a longer summary report is produced for the final day of each meeting.

Objective: Analyse commentaries for relevant information concerning how different states negotiated climate finance policy. The key aim with these documents is to look for evidence of which actors are successful in achieving their policy goals, how coalitions formed and functioned, how restricted actors are in their choice of policy and how layers of policy have influenced North-South (or other) negotiating dynamics. Such evidence can then be placed in the context of policy output and development, facilitating analysis of actor behaviour in relation to institutional rules and thereby identify mechanisms of institutional influence and events leading to institutional reinforcement and change. Additionally, of interest will be evidence that states appealed directly to justice terminology or principles and demonstrated normative positions during negotiations.

Process: Reading through each document was impractical for the volume of documents/pages that need to be reviewed (615). Instead, searching using this set of key words allowed for as comprehensive a review as possible to be performed:

• “financ” (to cover finance, financial and financial mechanism, as well as public finance and private finance)

• “fund” (to cover fund/s and funding, LDC Fund and Adaptation Fund, public funding and private funding)

• “GEF” • “GCF” • “SCCF” • “LDCF” • “cost” • “support” • “resource”

• “assist” (to cover assist and assistance – often used as a catch-all for finance, capacity building and technology transfer)

• “hist” (to cover historical responsibility/ies)

• “MOI” (acronym for “means of implementation,” a term used to refer to financial and other forms of support in later stages of negotiations).

As with any manual process, it is possible that some relevant statements were not captured but this large set of keywords covered the vast majority of ways that climate finance is referred to within the negotiations.

4. Source material: Submissions by Parties to UNFCCC COPs and other meetings and sub- bodies, reports from SBI/SBSTA negotiations and other UNFCCC documentation. Parties are often invited by the COP or sub-bodies to provide input to the policy process through dedicated submissions, which vary in length and detail from one paragraph to several pages. Parties can make individual submissions or joint submissions with other members of a particular bloc or other Parties with whom they have aligned on the issue in question. SBI/SBSTA reports detail policy development and sometimes policies are agreed at these meetings but do not become official policy output. Whenever relevant submissions, SBI/SBSTA reports or other UNFCCC documents are mentioned in official policy or ENB commentary (with sufficient information to obtain them from the UNFCCC website’s document portal – usually a document code) they were included in data gathering.

Objective: To identify additional evidence of how Parties have approached policy formation and the influence of previous policies.

Process: Manual analysis of submissions and matching relevant position statements or proposals to policy output and ENB commentary.

5. Source material: Secondary sources such as academics, media outlets, research organisations and NGOs. There are many such sources that document events within UNFCCC negotiations and analyse policy developments and how states have interacted.

Objective: To obtain additional insight into negotiations, Parties’ policy positions and negotiating dynamics, including North-South relationships.

Process: Any relevant output obtained was incorporated into data gathering.

4.6 Conclusion

This chapter has explained how this project has gathered data and will use historical institutionalism to perform qualitative analysis of the origins and development of the UNFCCC climate finance policy between 1992 and 2015. A range of primary and secondary sources were used to gather data and facilitate the application of a historical institutionalism approach to a global governance regime where repeated rounds of negotiation make it different from more bureaucratic or governmental institutions that are the traditional focus of historical institutionalism. Identifying key theoretical mechanisms indicates how historical institutionalism provides theoretical tools for building up temporally constructed narratives that examine how the institution was designed, how actors have behaved, and how layers of policy have built up over time. Within these narratives, the objective is to identify micro-processes that show how institutional rules and structures have influenced actor behaviour and policy output. Key to the analysis is how coalitions of actors have formed and interacted with each other in the policy process, in the context of the initial institutional design and the subsequent evolution of rules and structures that have reinforced particular power distribution or policy preferences. In doing so, legacies of North- South power imbalances and the wider development assistance sector can be identified and traced over time, adding valuable new insight to the existing understanding of how political contestation over climate justice and key elements of climate finance policy have shaped outcomes of the UNFCCC climate finance governance process. The analysis using the approach set out here will commence in the next chapter.

Part II:

HISTORICAL ANALYSIS AND