An initiative of the ACP Group of States funded by the European Union

Global Climate Change Alliance: Intra-ACP Programme

Training ModuleMainstreaming Climate Change

Module 8Strengthening institutional capacity

Ms Isabelle MamatySenior Expert

Climate Support Facility

Strengthening institutional capacity

Learning objectives: o To understand that strengthening institutional capacity

is at the core of mainstreaming climate change into development planning

o To understand that mainstreaming climate change implies institutional changes to provide lasting results

Expected outcomes: o Increased knowledge of the principles for institutional

and capacity strengtheningo Increased knowledge of the steps in institutional and

capacity strengthening

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Terminology

Institutionso the rules, norms, structures and other social

arrangements that shape and regulate human behaviour and interactions, and notably support decision making

o institutions ≠ organisationso institutions can be formal or informal

Institutional frameworko a system made up of rules, laws, policies and

institutions, in which various organisations interact with each other

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Key institutional requirementsfor effective mainstreaming

Effective mainstreaming

Cross-sectoral & cross-level

coordination, cooperation

Powerful champions at national level

Integration of new thinking,

new research in planning & monitoring systems & processes

Experience sharing,

dissemination of good practices Timely

stakeholder participation at various scales

Strengthening of capacities of

stakeholders at various scales

e.g. office of prime minister, ministries of

finance/budget/planning

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Roles & responsibilities ofmain stakeholders

Stakeholder group Main roles & responsibilities

Central government (incl. office of prime minister, ministries of finance/budget/planning, ...)

Leadership, performance management frameworksPolicies, standards & regulationsAllocation of budget resourcesGuidance & capacity building

Local governments Implementation of national policiesIntegration with community strategies

Private sector Preparation for losses & opportunities, risk mngtContribution to sustainable investments & vulnerability reduction through development

Scientific & academic organisations Policy-oriented researchSupport for decision making

Investment promotion agencies Climate-proofing of investments, bridging of development gaps

Poverty reduction organisations Climate change adequately addressedAdapted from: Schipper et al (2008)

Principles for institutionalising

climate change mainstreaming

Principles for institutionalising

climate change mainstreamingSource: UNDP-UNEP (2011)

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Which institutional model?

There is no single, ‘blueprint’ institutional model for effective mainstreaming of climate change

Each country has to determine the most suitable institutional arrangements based on:o current institutional structureso a clear diagnosis of their strengths and weaknesseso a clear plan for overall governance improvement

However, there are some agreed principles and examples of good practice

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Principles for institutional and capacity strengthening (1)

Move coordination of climate adaptation/mitigation to a central body with a coordination mandate and decision-making power over line ministries o e.g. China: National Development & Reform

Commissiono e.g. Kenya: Office of the President

Establish or strengthen coordination mechanisms, with a clear allocation of responsibilities and permanent arrangementso e.g. Mexico: Inter-Ministerial Commission on Climate

Change (CICC) with dedicated working groupsSource: UNDP-UNEP (2011) 8

Build on pre-existing intersectoral coordination mechanisms wherever possibleo e.g. coordination structures for food security, disaster

risk reduction and management, sustainable land management, environmental management

Institutionalise flexibilityo e.g. commitment to regular policy/strategy revisions

and reassessment of available knowledge Institutionalise adaptation/mitigation

mainstreamingo e.g. in guidelines, procedures, systems, criteria for

screening and prioritising programmes and projects

Source: UNDP-UNEP (2011) 9

Principles for institutional and capacity strengthening (2)

Develop effective national–local coordination mechanisms, identifying the most suitable level at which to cooperate/coordinateo e.g. Rwanda: annual performance contracts between

various levels of government, with clear definition of goals, indicators and activities

Strengthen institutions at the sub-national level, matching the transfer of competences with the transfer of resources

Source: UNDP-UNEP (2011) 10

Principles for institutional and capacity strengthening (3)

Tools and actions for supporting

institutional and capacity strengthening

Tools and actions for supporting

institutional and capacity strengthening

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Steps in institutional and capacity strengthening

Source: UNDP-UNEP (2009)

Needs assessment

Learning by doing

Working mechanisms

Mainstreaming as standard practice

National capacity self-assessment

Inst’l arrangementsManagement framework

Work plan

Training, exchange visits, on-the-job learning,

lesson learning/dissemination

Stakeholder analysis

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Needs assessment: capacity development for whom, for what?

Capacity development (CD) should take place at three complementary levels:o the ‘enabling environment’ or ‘system level’

(overall institutional level)o the organisation levelo the individual level

Start by determining: ‘Capacity development for

what?’ -> Define specific objectives

Source: UNDP (2011) 13

Needs assessment: stakeholders’ CD needs for mainstreaming

Stakeholder capacity building

Information systems & analytical

skills

Planning & prioritisation

skillsParticipatory

engagement & empowerment

skills

Political & communication

skills

Monitoring, evaluation & learning skills

Specific technical skills

Source: Dalal-Clayton & Bass (2009)

‘Functional capacities’

‘Technical capacities’

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Needs assessment: national capacity self-assessments

Based on existing or ad hoc institutional assessments, consider for all relevant organisations:o Level of education & awareness of climate changeo Organisations’ mandates & functions with regard to

climate-related issueso Influence of climate risks on capacity to functiono Technical, financial, legal/regulatory capacities &

information systems in relation to climate-related issueso Planning, decision-making, budget allocation &

programming mechanismso Collaboration & coordination structures & mechanisms

Source: UNDP-UNEP (2011)15

Setting up working mechanismsfor a mainstreaming initiative

Define institutional arrangements (political and technical) (e.g. steering and technical committees)

Set up a management frameworko Leadership arrangementsoHuman resourceso Financial arrangementsoM&E arrangements

Develop an operational work plan

Source: UNDP-UNEP (2011)16

Learning-by-doing: multiple approaches

Formal training on mainstreaming and on specific technical aspects

Exchange visits On-the-job learning through national

mainstreaming programmes (e.g. GCCA-funded) including: o Interdisciplinary teamso Twinning between organisationso Technical assistanceo Demonstration projects

Lesson learning and disseminationSource: UNDP-UNEP (2009)17

Turning words into action Turning words into action

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Discussion

Questions and answers Strengthening institutional capacity

what are the institutional and capacity needs in your organisation in order to enable the mainstreaming of climate change in your

sector or at your level ?

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Presentation of case studies

Presentation of case studies of institutional strengthening approaches

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Learning process exercise: Working group

Exercise: development of an institutional map of your country

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Recap – Key messages

Institutional and capacity strengthening (rooted in a good diagnosis of the strengths/weaknesses of existing structures and efforts to improve governance) is a key condition for successful climate change mainstreaming

Needs assessment, the setting up of effective working mechanisms and ‘learning by doing’ can support the mainstreaming process

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Key references

UNDP (2011) Practitioner’s Guide: Capacity Development for Environmental Sustainability. United Nations Development Programme, New York

UNDP-UNEP (2011) Mainstreaming Adaptation to Climate Change into Development Planning: A Guide for Practitioners. UNDP-UNEP Poverty-Environment Initiative

UNDP – Integrating environment into development: http://www.undp.org/mainstreaming/

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• Thank you

• Contact: Dr. Pendo MARO, ACP Secretariat pendomaro@acp.int or +32 495 281 494

www.gcca.eu/intra-acp