Global Climate Change Alliance:
Intra-ACP Programme
Training Module
Mainstreaming Climate Change
Module 8
Strengthening institutional capacity
Ms Isabelle Mamaty
Senior Expert
Climate Support Facility
An initiative of the ACP Group of States funded by the European Union
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 strengthening
o Increased knowledge of the steps in institutional and
capacity strengthening
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Terminology
 Institutions
o the rules, norms, structures and other social
arrangements that shape and regulate human
behaviour and interactions, and notably support
decision making
o institutions ≠ organisations
o institutions can be formal or informal
 Institutional framework
o a system made up of rules, laws, policies and
institutions, in which various organisations interact
with each other
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Key institutional requirements
for effective mainstreaming
Cross-sectoral &
cross-level
coordination,
cooperation
Powerful
champions at
national level
Effective
mainstreaming
Experience
sharing,
dissemination of
good practices
Timely
stakeholder
participation at
various scales
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e.g. office of prime minister,
ministries of
finance/budget/planning
Integration of
new thinking,
new research in
planning &
monitoring
systems &
processes
Strengthening of
capacities of
stakeholders at
various scales
Roles & responsibilities of
main stakeholders
Stakeholder group
Main roles & responsibilities
Central government (incl. office of
Leadership, performance management frameworks
Policies, standards & regulations
Allocation of budget resources
Guidance & capacity building
prime minister, ministries of
finance/budget/planning, ...)
Local governments
Implementation of national policies
Integration with community strategies
Private sector
Preparation for losses & opportunities, risk mngt
Contribution to sustainable investments & vulnerability
reduction through development
Scientific & academic organisations
Policy-oriented research
Support for decision making
Investment promotion agencies
Climate-proofing of investments, bridging of
development gaps
Poverty reduction organisations
Climate change adequately addressed
Adapted from: Schipper et al (2008)
Principles for institutionalising
climate change mainstreaming
Source: 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 structures
o a clear diagnosis of their strengths and weaknesses
o 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
Commission
o e.g. Kenya: Office of the President
 Establish or strengthen coordination mechanisms,
with a clear allocation of responsibilities and
permanent arrangements
o e.g. Mexico: Inter-Ministerial Commission on Climate
Change (CICC) with dedicated working groups
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Source: UNDP-UNEP (2011)
Principles for institutional and
capacity strengthening (2)
 Build on pre-existing intersectoral coordination
mechanisms wherever possible
o e.g. coordination structures for food security, disaster
risk reduction and management, sustainable land
management, environmental management
 Institutionalise flexibility
o e.g. commitment to regular policy/strategy revisions
and reassessment of available knowledge
 Institutionalise adaptation/mitigation
mainstreaming
o e.g. in guidelines, procedures, systems, criteria for
screening and prioritising programmes and projects
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Source: UNDP-UNEP (2011)
Principles for institutional and
capacity strengthening (3)
 Develop effective national–local coordination
mechanisms, identifying the most suitable
level at which to cooperate/coordinate
o 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
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Source: UNDP-UNEP (2011)
Tools and actions for supporting
institutional and capacity strengthening
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Steps in institutional and
capacity strengthening
Needs assessment
National capacity selfassessment
Working mechanisms
Inst’l arrangements
Management framework
Work plan
Learning by doing
Training, exchange visits,
on-the-job learning,
lesson
learning/dissemination
Stakeholder analysis
Mainstreaming as
standard practice
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Source: UNDP-UNEP (2009)
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 level
Start by determining:
o the individual level
‘Capacity development for
what?’ -> Define specific
objectives
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Source: UNDP (2011)
Needs assessment: stakeholders’
CD needs for mainstreaming
Information
systems &
analytical
skills
Political &
communication
skills
‘Functional
capacities’
Planning &
prioritisation
skills
Stakeholder
capacity
building
Participatory
engagement &
empowerment
skills
Specific
technical skills
Monitoring,
evaluation &
learning skills
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‘Technical
capacities’
Source: Dalal-Clayton & Bass (2009)
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 change
o Organisations’ mandates & functions with regard to
climate-related issues
o Influence of climate risks on capacity to function
o Technical, financial, legal/regulatory capacities &
information systems in relation to climate-related issues
o Planning, decision-making, budget allocation &
programming mechanisms
o Collaboration & coordination structures & mechanisms
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Source: UNDP-UNEP (2011)
Setting up working mechanisms
for a mainstreaming initiative
 Define institutional arrangements (political
and technical) (e.g. steering and technical
committees)
 Set up a management framework
o Leadership arrangements
o Human resources
o Financial arrangements
o M&E arrangements
 Develop an operational work plan
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Source: UNDP-UNEP (2011)
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 teams
o Twinning between organisations
o Technical assistance
o Demonstration projects
 Lesson learning and dissemination
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Source: UNDP-UNEP (2009)
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
[email protected] or +32 495 281 494
www.gcca.eu/intra-acp
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Module 8 - Institutional Strengthening