CTCN Request Incubator Programme
Mapping Climate Technology
Stakeholders
Contents
Figures ..................................................................................................................................... 1
Tables ...................................................................................................................................... 2
Acronyms .............................................................................................................................. 3
Introduction .......................................................................................................................... 4
Objectives of the stakeholder mapping tool .......................................................................... 4
Stakeholder definition: what makes a stakeholder ................................................................ 4
The importance of involving stakeholders in climate technology transfer ........................... 5
Identification and mapping: step by step ............................................................................... 5
Relevant stakeholders: how to identify them ........................................................................ 5
Making a comprehensive list of various stakeholders ........................................................... 7
Mapping stakeholder involvement at the various stages of the technology transfer process
................................................................................................................................................. 7
Preliminary assessment and review of existing mapping..................................................... 10
Stakeholder consultation process ........................................................................................ 11
Importance of consultations with stakeholders ................................................................... 11
Conducting stakeholder consultations: methodologies and techniques ............................. 11
Documenting stakeholder consultations .............................................................................. 15
Examples from TNA countries .............................................................................................. 17
Mauritius: Identifying relevant stakeholders ....................................................................... 17
Thailand: Conducting stakeholder consultations ................................................................. 18
Colombia: Documenting stakeholder consultations and involvement ................................ 19
References .......................................................................................................................... 20
Annexes .............................................................................................................................. 22
Annex 1: Template for documentation of stakeholder mapping ......................................... 22
Annex 2: Template for documentation of stakeholder consultations and involvement ..... 22
Figures
Figure 1 Stakeholder Interest-Power Matrix .................................................................................. 9
Figure 2 Stakeholder Participation Matrix .................................................................................... 10
Figure 3 Questions for successful stakeholder documentation ................................................... 16
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Tables
Table 1 Categories of stakeholders or interested parties for the technology transfer process .... 6
Table 2 Grid for organising stakeholders ........................................................................................ 7
Table 3 Main roles in the technology transfer process .................................................................. 8
Table 4 Steps for reviewing the TNA process ............................................................................... 10
Table 5 Consultation tools and techniques .................................................................................. 12
Table 6 Best practice ..................................................................................................................... 14
Table 7 Mauritius TNA: Best practices, methodologies and recommendations for NDEs ........... 17
Table 8 Thailand TNA: Best practices, methodologies and recommendations for NDEs ............. 19
Table 9 Colombia TNA: Best practices, methodologies and recommendations for NDEs ........... 20
2
Acronyms
CP
Consortium Partner
CTCN
Climate Technology Centre and Network
GHG
Greenhouse gas
IFC
International Finance Corporation
NAMA
Nationally Appropriate Mitigation Actions
NDE
National Designated Entity
NGO
Non-Governmental Organisation
ODA
Official Development Assistance
SME
Small and Medium Enterprises
TNA
Technology Needs Assessment
UNFCCC
United Nations Framework Convention on Climate Change
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Introduction
Objectives of the stakeholder mapping tool
Through this detailed guidance document, NDE technical leads will understand why a process of
stakeholder involvement should be undertaken as a crucial part of the technology transfer process, which
stakeholders should be involved in in the process, and how to bring them in and keep them interested
throughout the process. Seeking the benefits of stakeholder involvement is crucial for any country seeking
to have successful results, which will later facilitate an effective implementation stage.
Thus the aim of this training tool is to allow the NDE, with support from the regional CP, to successfully
map climate technology stakeholders that are related to climate technologies, and generate a list of
climate technology stakeholders from various sectors and types of institutions, that have strong relevance
and can positively impact the deployment of climate technologies. The material should be used by the
CPs in each country participating in the programme to train the NDE on how to conduct a mapping of
climate technology stakeholders and to guide the NDE through this exercise. NDEs thus can use these
tools to identify and prioritize requests for technical assistance that have strong potential to trigger
deployment of technologies on the ground and leverage finance.
Different national circumstances in terms of institutional structures in the public and private sectors,
existing capacities, the state of technological development and vulnerabilities to climate change will
require different approaches for stakeholder engagement in each country. Consequently, this training tool
should be taken as a reference for stakeholder engagement, but adapted to the unique circumstances
and needs of every country.
NDEs can concretely use this guidance note to produce the following outputs and deliverables:
 Categorise stakeholders
 Stakeholder organisational grid
 Stakeholder participation matrix
 Template for documentation of stakeholder mapping (Annex A)
 Template for stakeholder consultations and involvement (Annex B)
Stakeholder definition: what makes a stakeholder
A stakeholder is an individual, or group of individuals, who have an interest in a particular decision,
measure or intervention and the impacts these may have on them. It can include those who make the
decision, those who could influence it and those who will be affected by it. That decision “…will affect and
influence the stakeholder in a certain way as an individual or as a group, in the same way the stakeholder
also has an opportunity to influence on the decision-making process: through its own action” (Aaltonen
& Kreutz, 2009).
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The importance of involving stakeholders in climate technology transfer
In order to submit quality requests to the CTCN, NDEs need to have an overview of the various actors
related to climate technologies. This would enable the NDE to have insights on specific technology
challenges and opportunities to submit requests that were developed in consultation with relevant actors,
and to gather support for future follow-up actions to CTCN technical assistance, as stakeholders will have
already been exposed to proposed actions and provided some level of “buy-in”. In this sense, stakeholders
are CTCN clients, and can help develop requests that have the potential to create impacts at the ground
level.
In addition, it will enable the NDE to connect with a wide array of stakeholders (government departments
with responsibility for policy formulation regulation, and budget allocation, private and public sector
industries, associations, and distributors, electric utilities and regulators, finance community,
international organizations/donor representatives, SMEs, research institutions, NGOs, etc.), and raise
awareness on these issues and on opportunities offered by the CTCN. These stakeholders could play an
important role in CTCN processes as request applicants or network members.
Identification and mapping: step by step
Relevant stakeholders: how to identify them
In order to submit quality requests to the CTCN, NDEs need to have an overview of the various actors
linked to climate technologies. This enables the NDE to have insights on specific technology challenges
and opportunities to submit requests that were developed in consultation with relevant actors.
While identifying relevant stakeholders must be done on a case by case basis, NDEs can turn to preexisting national documents or processes for inspiration and support. TNAs, for example, have already
undertaken stakeholder consultations and are in the process of developing a TNA Guidance note on
Stakeholder Identification and Engagement that NDEs could use as a starting point. Other examples of
potential data sources include: National Communications, NAPAs, National Climate Change Strategies,
etc.
Requests to the CTCN should point to the challenges linked to climate change that a particular country is
facing, and have a clear focus on climate technologies for mitigation and adaptation to climate change and
the actions the country will undertake to enable the development and transfer of those technologies.
These should relate to actual technology development and transfer, and it is important to plan ahead so
that stakeholders that can have a stronger role are involved in the process.
Stakeholders can belong to various groups or categories, but NDE project leaders can divide them into 14
categories (Table 1).
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Table 1 Categories of stakeholders or interested parties for the technology transfer process
1. Government departments with responsibility for policy formulation and regulation of sectors
related to the request.
2. Industries and industry associations, businesses, and distributors that are operating in sectors
with high GHG emission impact or that are vulnerable to climate change impacts.
3. Electric utilities and regulators.
4. Within the private sector, technology users and/or suppliers who could play a key local role in
developing/adapting technologies in the country.
5. Organizations involved in the research and development, manufacturing, import, sales, and
promotion of technologies for mitigation or adaptation.
6. The finance community, which could provide the capital required for technology project
development and implementation.
7. Communities, small businesses and farmers that are or will be using the technologies and who
would experience the effects of climate change.
8. Non-Governmental Organizations involved with the promotion of environmental and social
objectives.
9. Institutions that provide technical support to both government and industry (e.g., universities,
research institutions, think tanks, and consultants).
10. Labour unions, consumer groups, and media.
11. Country divisions of international companies responsible for investments important to climate
policy (e.g., agriculture and forestry).
12. International organizations, cooperation agencies, and donors.
13. International agencies, e.g., UN, bilateral, ODA.
14. Other climate change / UNFCCC focal points: UNFCCC, Adaptation fund, NAMAs etc.
Source: von Luepke, 2013
This broad categorization provides a good initial idea of who to include, however, this will vary in terms
of the country in question, the significance of particular groups, the chosen sectors and the prioritization
of technologies. The selection of stakeholders will therefore need to be tailored to the relevant context.
Another way to develop a good first idea of who to include, is to think about which stakeholders can make
the process more robust and efficient by: (1) providing data (e.g. public agencies, private companies), (2)
delivering technical assistance (e.g. public and private sector experts, cooperation agencies and
consultants), (3) conducting the facilitation/ intermediation process (e.g. specialized firms, business
promotion agencies, technology promotion agencies, and civil society groups), (4) procuring additional
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funding (e.g. Ministry of Finance, international cooperation, public investors) and (5) dissemination of
results (e.g. communications officers, media).
Making a comprehensive list of various stakeholders
Once stakeholders have been identified it is then important to gain a comprehensive understanding of
their roles, and where in the project cycle they are best engaged. Representatives should be selected from
specific groups, and the relationships, if any, between stakeholders should be determined and their
interests in the technology transfer process identified. Potential conflicts should be acknowledged,
analysed, and opportunities recognized. Failing to assess key stakeholders can result in the lack of
consideration of important limitations or requirements from the project design. Thus leaving out key
stakeholders or failing to acknowledge their vested interests can result in the need for costly and complex
changes to the project design late in the game (REQB, 2014).
Thus the stakeholder mapping tool in Annex 1 has been developed in order to identify the stakeholder's
interests, analyse their organisational relevance and evaluate the environment. The tool requires you to
list any previously identified stakeholders, categorise them, indicate their interest in the technology
transfer process, and identify their potential for participation. It also requires you to justify your choice of
stakeholder and their relevance to climate technology transfer, and rank them based on their importance
and impact for successful technology transfer.
Mapping stakeholder involvement at the various stages of the technology transfer
process
It is important to ensure that the right stakeholders are engaged at the right time. The above stakeholder
mapping tool will help lead to better prioritization and also give an idea of which stakeholders should be
fully engaged in the different stages of the technology transfer process. There are a variety of approaches
for assessing which stakeholders should be involved in which stages of the technology transfer process
depending of the type and complexity of the project. However, in order to identify in the most appropriate
approach and relevant stakeholders, it is recommended to follow a series of steps:
i.
Mapping the entire forest: Start with a brain-storming activity with the participating
stakeholder group who have good knowledge of the technology transfer process objectives and
characteristics. This small working group should give the activity a good overview of the problem
that needs to be solved. Some examples for effectively organising the brainstorming session and
minimising the risk of missing key stakeholders can be found in Table 2.
Table 2 Grid for organising stakeholders
Private sector
 Corporative and business
 Business associations
Public Sector Stakeholders
Civil Society Stakeholders
 Media
 Churches / Religion
 Schools and Universities
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Private sector
Public Sector Stakeholders
Civil Society Stakeholders
 Ministers and advisors
(executive) Civil servants and
departments (bureaucracy)
 Elected representatives
(Legislature Courts (Judiciary)
 Political parties
 Local governments/councils
Military
 Commissions
 International bodies (World
Bank, UN, etc.)
 Social movements and
advocacy groups
 Trade unions
 National NGOs
 International NGOs
Adapted from: Santandreu, 2014.
Another useful tool for mapping stakeholders is shown in Table 3 below, which proposes to
divide stakeholders in 5 groups, each with specific roles that are relevant for the technology
transfer process. In the table, the Driving Group refers to stakeholders who take a lead during
the process and are key in order to drive the project ideas to the next level of implementation;
Political Decision Makers facilitate the execution of the process; Technical Support refers mainly
to actors that help identify and validate the proposed technologies; Interest and Opinion
includes stakeholders that will provide relevant data and useful information to make better
project decisions; finally, Social & Institutional Support refers to actors that will facilitate the
interaction with local populations directly affected by the technology transfer process.
Table 3 Main roles in the technology transfer process
Driving Group
 Key Ministries
(Environment,
Finance, etc.)
 Private Sector
Partners
ii.
Political Decision
Makers
Technical Support
 Regional
environment
authorities
 Government
authorities
(such as
Ministries of
Commerce,
Industries,
Agriculture,
Energy and
Transport).
 Academic
institutions
(technical
background)
 Researches
 Private
business (large
industries and
SMEs)
Interest and
opinion
 Guilds private
sector
Social &
Institutional
Support
 NGOs
 Local
authorities
Knowledge of each stakeholder: The stakeholder assessment tool above requires stakeholders
to be ranked in order of their importance and relevance to the technology transfer process. The
matrix proposed in FigureStakeh 1 capitalises on this by calling the prioritization of effort
depending on the characteristic of each stakeholder group. For example, stakeholders with high
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interest but low relevance should be kept informed about the project and proposed technology;
but those with high relevance and low interest are the ones that should be able to see the benefits
of the project at the end of the technology transfer process. And of course, the key stakeholders
for the project will be those with both high relevance and interest and should be appropriately
engaged at applicable levels of the process.
Figure 1 Stakeholder Interest-Power Matrix
Source: Hovland, 2005
iii.
Define the timing for participation: Stakeholders are often people with busy schedules, so it
should not be assumed that they will have plenty of time for the project. In that sense, a useful
tool for organizing and ensuring the participation of stakeholders is the matrix shown in Figure 2,
which helps define when the participation of the different stakeholders for each step of the
technology transfer process is critical. Based on this model, stakeholders have the opportunity to
book the time in advance.
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Figure 2 Stakeholder Participation Matrix
Inform
Step 1.
Activation of
Programme
SA
Consult
Document
Follow-up
SE
SB
SB
Step 2.
Step 3.
Support before
submission of
request for
assistance
Support after
submission of
request for
assistance
SD
SC
SX: Stakeholder x
Adapted from: IFC, 2008
Preliminary assessment and review of existing mapping
Not all NDEs will have the same starting or entry point when it comes to identifying relevant stakeholders for
consultation, as this will depend upon the country. The existence of a TNA process, or a similar process for
technological assessment, could influence how NDEs approach the technology transfer process and the rationale
behind it. The TNA process can thus be used to identify, review, and revise stakeholders to identify future requests
to the CTCN, as noted in Table 4.
Table 4 Steps for reviewing the TNA process
Steps
Identify
Review
Process
During the TNA process, a potential list of
stakeholders for consultation will have been
identified, along with their roles, responsibilities and
methods of engagement. This is an ideal starting point
for NDEs looking to identify stakeholders.
Given that an initial list of stakeholders has already
been identified, it is then necessary to review this list,
bearing in mind that the TNA process and CTCN
assistance operate under different objectives.
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Revise
Given the CTCN objective of prioritizing and identifying
requests for technical assistance, it is important that
stakeholders already identified by the TNA:
 Could the stakeholder be a potential request
applicant?
 Does the stakeholder list comprehensive and
useful (i.e. involve private sector actors,
cooperation business associations and
communities, civil society, banks, investors,
donors, etc.)?
 Do they strong role and effectively create impact
for the deployment of technologies?
The stakeholder list can thus be revised and updated
after the review above is undertaken, and
stakeholders can be removed or added as necessary.
Stakeholder consultation process
Importance of consultations with stakeholders
Stakeholder consultations are an important source of information that not only help improve and shape
design, but are also key for identifying and prioritising sound requests to submit to the CTCN for technical
assistance. Additionally, consultation can lead to the development of strong partnerships and form the
basis for future collaboration, particularly when stakeholders are given the opportunity to engage in the
process by raising concerns and asking questions, giving them the breadth to help shape the technology
transfer process either directly or indirectly (IFC, 2008).
Thus stakeholder consultation should lead to the development of productive and constructive
relationships that are maintained not only throughout, but beyond the CTCN assistance life cycle, wherein
emerging challenges and developments that have the potential to impact the technology transfer process
are quickly brought to light and can be easily identified, as well as followed-up on for future deployment
and dissemination. The argument for consulting stakeholders therefore goes beyond merely building
rapport or engendering goodwill, but becomes a viable tool that can be used to identify needs and track
perceptions, solicit feedback, and evaluate processes and developments. Through stakeholder
consultation, resources can be allocated more efficiently and effectively and enhance sustainability,
increasing the chances of successful implementation.
Stakeholder consultations characterise transparency and good governance through engagement and
communication, and as is further outlined below, represent a form of best practice (Morgan, 2015).
Conducting stakeholder consultations: methodologies and techniques
Stakeholder consultation is, "the process of gathering information or advice from stakeholders and taking
those views into consideration to amend plans, make decisions or set directions" (Partridge et al., 2005).
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It should ideally take into account and solicit input on the functions, characteristics, limitations and
expectations of the technology transfer process, and identify stakeholder requirements or concerns
(REQB, 014). Consultations tools and techniques are listed below and can be built into a methodology that
fits the vision and goals.
Table 5 Consultation tools and techniques
Technique
Description
Questionnaires and surveys are
primarily used for gathering
quantitative information but
can include both open and
Questionnaires
closed-ended questions. They
and Surveys
are generally used to target
larger audiences, and help to
capture the overall breadth of
stakeholder knowledge.
Application
 To detail and
confirm
stakeholder
information
 Organize content
of stakeholder
requirements
 Preview and select
potential solutions
Interviews
Interviews are a primarily
qualitative method that allow
the user to ask questions and
gain responses from the
 Obtain information
stakeholder on specific areas
on a specific topic
and topics, and allow for
and area
adaptive interviewing
 Allow for the
techniques where new
introduction of
information, pertinent to the
relevant new
overall objectives of the
information or
study, can be added to the
concerns
interview questionnaire as it is
brought up during the interview  Clarify stakeholder
process. This not only helps to
requirements
improve data collection but
also improves the focus of the
study to address issues as they
arise.
Workshops
and Focus
Groups
A workshop or focus group
draws together key
stakeholders representative of
certain sectors, agencies and
communities for focused
discussion on a specified topic
 Identify
requirements to
establish solutions
scope
 Identify hidden
requirements that
Disadvantages
 Excludes implicit
knowledge
 Dependent on
respondent
motivation and
response rate
 Potentially be
structured in a
leading or directive
way
 Time consuming
 Inability to
effectively replicate
or standardize
results
 Often require time
intensive coding
processes to draw
out messages and
themes
 Geographical
barriers
 Natural leaders
may emerge and
dominate the
conversation,
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or area. These should ideally
involve stakeholders who hold
differing points of view in order
to help outline concerns and
requirements coming from
different perspectives, and help
build consensus around
solutions.
Participatory
Appraisal and
Self-recording
Public Forums
Participatory appraisal focuses
on the activities of the
stakeholder, and requires them
to self-document their
activities, processes, or
methods and describe desired
changes, concerns or needs.
This method gives the
stakeholder a direct role and
voice in the consultation
process, and endeavours to see
the technology transfer process
cycle from the stakeholder's
perspective.
Public forums allow an outlet
for the general public to
provide meaningful inputs into
the decision making process,
and can be used as an early
warning system for public
concerns. Public forums also
give voice to any relevant
stakeholders that maybe have
been missed out in the
stakeholder identification
process.
are not directly
stated but needed
to meet
stakeholder needs
 Define priorities of
requirements or
reach consensus
 Discover and
resolves potential
conflicts between
stakeholders
 Understand
procedures or
processes from the
stakeholder
perspective
 Identify
requirements from
the public
 Allow the public’s
values to be
incorporated into
decisions
 Identify and
address public
concerns.
 Identify
Field
Observation
Field observation can take
many shapes and forms, but
involves watching stakeholder
activities and processes, and
requirements by
observing
stakeholder
activities
biasing the
resulting messages
in one direction
 Power dichotomies
may emerge when
bringing different
stakeholder groups
together, to the
advantage of some
and disadvantage
of others
 Dependent on
motivation and
experience of the
user
 Time and capacity
intensive
 If done poorly, can
result in negative
perceptions
 Exceptional cases
may not come to
light
 May be inhibited
by geography,
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documenting processes and
results. These observations can
then be used to describe
requirements based on what
was observed, and have the
added benefit of allowing the
user to identify processes or
activities that may have been
missed during surveys or
interviews.
Brainstorming
Brainstorming with
stakeholders allows for the
rapid collection of inputs and
ideas at a relatively low cost.
Stakeholders are asked to
submit ideas and concepts
related to a specific topic or
problem.
 Avoid problems the
stakeholders may
have with
expressing their
needs
safety, political or
legal reasons.
 Resolve
 Dependent on
requirements or
conflicts
 Outline various
options and
solutions
participant
motivation
 Not easily
applicable across
distributed teams
Adapted from: REQB 2014 and IFC 2008
As each of the above consultation techniques has its own advantages and disadvantages, and it is
recommended to undertake stakeholder consultations using an iterative range of tools in order to achieve
effective results and avoid knowledge gaps. The selected techniques and eventual methodology should
coincide with the overall goals and vision of the consultation process.
Additionally, while stakeholder consultations will always be context-specific, with techniques and
methodologies developed and designed for the local level, it is still possible to identify and follow a best
practice approach. The IFC (2008) identifies 11 practices for successful stakeholder consultations, which
have been adapted in order to allow NDEs to apply them in order to identify the best requests:
Table 6 Best practice
TARGETED
Consultations should be targeted towards those most likely to be
effected by the technology transfer process, including identifying
relevant sectoral groups or those groups with potential requests.
EARLY
Consultations should take place far enough in advance to identify key
issues and their potential impact on future direction.
INFORMED
Stakeholders should be informed about the scope of the technology
transfer process, due to the early distribution of pertinent information
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and stakeholders should be well prepared ahead of the consultations
of the content of potential requests.
MEANINGFUL
Consultations should be presented to stakeholders in a way that is
mindful of the local context and follow techniques sensitive to cultural
perspectives.
INCLUSIVE
Consultations should be structured in such a way that all participants
have the opportunity to express their views and have their issues
addressed- with all requests given full consideration and decided upon
based on elements collected in the consultations, as different
stakeholder groups will maintain different interests
GENDER SENSITIVE
Consultations should also recognize that men and women often have
not only different viewpoints, but different needs, and that this is likely
to effect the consideration and prioritisation of requests.
LOCALIZED
Consultations should take into account and reflect local context,
language and timeframes.
UNBIASED
Consultations should endeavour to remain as unbiased as possible, and
remain free from manipulation or coercion.
DOCUMENTATION
Consultations should be thoroughly documented in order to maintain
an index of the key issues and concerns of participants, as well as record
a list of those consulted, allowing the NDE to prepare for future
consultations and build upon previous consultations to develop a good
request.
FEEDBACK
Timely feedback to stakeholders on submitted and selected requests
should be a priority, as well as transparency of the final decision making
process and clarification of any next steps or on-going processes.
FOLLOW-UP
Consultations with stakeholders should be on-going throughout the
duration of the technology transfer process in order to make sure
requests remain relevant.
Source: Adapted from IFC, 2008
Documenting stakeholder consultations
The objective of stakeholders’ mapping and consultation is the identification and development of a good
request. As noted in the best practice table above, it is critical to document stakeholder consultations,
including their activities and outcomes, in order to successfully manage and benefit from the engagement
process. Documentation is necessary for critical reflection on the engagement process and for tracking
any commitments or compromises, and will allow the NDE to prepare for future consultations by building
upon stakeholder inputs to identify and develop a good request. The questions in figure 3 must be taken
into consideration:
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Figure 3 Questions for successful stakeholder documentation
Who were the stakeholders consulted?
Are the stakeholders representative of a specific sector?
What role do they play in the technology transfer process?
Where did the consultations take place?
What themes or messages did the consultations explore?
What was the stakeholder's criteria for a
identifying a good request?
Did stakeholders make any suggestions for
developing sound requests?
Which requests best meet stakeholder needs?
Where any agreements, concessions or commitments made?
Did NDEs agree to include or exclude any stakeholder
criteria or feedback when developing/considering
requests?
Where any requests put up for further
development or consideration by stakeholders?
Did the NDE commit to moving forward with or
developing any requests?
What were the results of the consultation?
Was a request agreed upon or prioritised by the
stakeholder?
Were any requests denied or rejected by the
stakeholder?
Did the NDE take away any relevant information
to include in future consultations?
What are the follow-up actions, if any?
Did the NDE commit to additional follow up with
the stakeholder?
Has the NDE informed the stakeholder of the
final requests?
Has the NDE invited input and feedback on the
final selection process?
A template for documentation of stakeholder consultations and involvement has been developed and
included in Annex 2. This tool has been developed in order to satisfy and enhance monitoring and
evaluation criteria, and can be a useful indicator of whether or not the views of those affected and key
stakeholders have ultimately been integrated into design and implementation.
Stakeholder documentation can also be used for follow-up and reporting back to stakeholders in order to
demonstrate how their priorities or concerns have been addressed (IFC, 2008). As described above, timely
follow-ups with stakeholders are a form of good practice, in order to keep them updated on the
technology transfer cycle and next steps in the process. Follow-up also allows for the double-checking of
information and documentation, or refining approaches, commitments or processes before
implementation. It would also allow the NDE to gain support for future follow-up actions to CTCN technical
assistance, given a record of involvement, an established reputation for credibility, and documented 'buyin' from previous stakeholders.
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Examples from TNA countries
The following section outlines three different examples taken from TNA stakeholder consultations in
Mauritius, Thailand and Colombia. It is important to note that the objectives of TNAs and the CTCN differ,
and the examples are descriptive. However, a matrix has been developed for each example that shows
how the NDEs can draw on such case studies by linking them to best practices, different methodologies,
and formulating recommendations that NDEs can taking into account when identifying stakeholders and
organising consultations.
Mauritius: Identifying relevant stakeholders
A positive example of identifying relevant stakeholders can be found in Mauritius's TNA, which seeks to
ensure maximum local stakeholder ownership of the project. The TNA utilizes a bottom-up approach
wherein all key stakeholders who understand local contexts and priority sectors are given a central role
in the project. Using this bottom-up approach, the TNA coordinator, Climate Change Division staff,
MoESD, and a TNA consultant, undertook a stakeholder mapping exercise. This mapping exercise was
performed using a sectoral approach, focusing primarily on the mitigation and adaptation sectors and
with the support of the National TNA Committee. A list of relevant stakeholders from these sectors was
identified and presented to the inception workshop for validation and approval.
Having successfully identified a list of relevant stakeholders, it was consolidated into five different sectoral
working groups, covering energy, agriculture, water, coastal zones and tourism. A chair was established
for each group to act as a focal point and key representative. These sectoral working groups were then
able to recommend twenty-five potential adaptation technologies aimed at improving the resilience of
agro-ecosystems during a single working group session at the inception workshop.
While the objectives of TNAs and the CTCN differ, Mauritius still represents a good example of how
identifying key stakeholders and using mapping techniques to organise stakeholders according to sector
or role can yield concrete results very quickly and efficiently.
Table 7 Mauritius TNA: Best practices, methodologies and recommendations for NDEs
Best practice (table 6)
Targeted
Method (table 5)
Brainstorming
Field Observation
Recommendation for NDE
Like Mauritius, NDEs could use a
targeted approach to identify
stakeholders within certain sectors
by undertaking a brainstorm
exercise that 1) identifies relevant
sectors and 2) seeks to identify key
stakeholders within these sectors.
This brainstorming exercise should
consider:
17

Localised
Public Forums
Workshops
Focus Groups
What sectors should be
targeted
 The role of the stakeholder in
technology transfer
 Stakeholders with potential
requests or the ability to help
develop a good request
Having identified stakeholders,
Mauritius took a bottom-up
approach to make sure local
contexts and viewpoints were
included through a series of sectoral
workshops.
NDEs can undertake a similar
process of consultative workshops
by considering:
 What constitutes a good
request in the local context,
based on elements collected in
the consultations and
 The how the different
priorities of a variety of local
stakeholders can be used to
develop a request
Thailand: Conducting stakeholder consultations
Thailand's TNA is an example of how different tools and techniques can be drawn upon to yield a
successful model for stakeholder consultation.
Thirty-seven experts and stakeholders were identified from the governmental, private and academic
sectors and tasked with prioritising technologies that best matched the adaptive needs of targeted
subsectors. These stakeholders were divided up into focus groups and undertook a series of workshops
on five different technology options: (1) forecasting and early warning technology, (2) crop improvement
technology, (3) precision farming/resource management technology, (4) post-harvest technology, and (5)
animal nutrition and feed technology. Experts and stakeholders then identified, ranked, and discussed
these options and the top-ranked technologies were discussed through a brainstorming process. The
brainstorming process allowed stakeholders to flag the differences of readiness among the selected
technologies as an important issue in the technology transfer process.
In addition to focus groups, workshops, and brainstorming exercises, Thailand also launched a series of
national public hearings on technologies for the water resource management sector and the TNAs to
boost stakeholder engagement. This is an example of how stakeholder consultations can utilize different
techniques such as focus groups, workshops, brainstorming sessions, and public forums in tandem to
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direct and focus discussion and produce practical, actionable results for aiding in the technology transfer
process.
Table 8 Thailand TNA: Best practices, methodologies and recommendations for NDEs
Best practice (table 6)
Inclusive
Method (table 5)
Brainstorming
Focus groups
Workshops
Public forum
Recommendation for NDE
Thailand employed a variety of
different tools to build their own
stakeholder consultation approach
and flag different stages of
readiness. NDEs should make use
of these different tools to build an
approach that best suits their
needs, depending on the local
context (as above) and in order to
be as inclusive as possible and
produce requests that are relevant
for their stakeholders.
When consulting stakeholders,
NDEs should consider:
 Which approach is most
relevant for the stakeholders,
and the need to potentially use
different approaches for
different groups or different
types of requests
 Recognize the different
priorities of different
stakeholders by including all
requests for review
Colombia: Documenting stakeholder consultations and involvement
The TNA from Colombia is one of the best examples for demonstrating effective stakeholder
documentation. While Colombia not only undertook through stakeholder identification and mapping
process, giving consideration to different regions and economic sectors, as well as creating a list of their
stakeholders and providing a detailed justification for each, they also constructed a stakeholder database.
This database acts as a log for stakeholder documentation and contains the contact details of each
stakeholder, a description of meetings and workshops the stakeholder was involved in, the objectives of
the meeting, and the meeting outcomes and results.
Colombia will use the stakeholder database they created as fundamental support for the analysis of
methodologies, barriers and measures, which they eventually plan to use for structuring an action plan
constituting training modules on: energy efficiency, the technical characteristics of the industrial process,
the current state of technologies, in addition to capturing the perception of the different stakeholders on
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climate change and its interrelationships with economic variables. This is an excellent example of how
important and useful stakeholder documentation is for project development and follow-up.
Table 9 Colombia TNA: Best practices, methodologies and recommendations for NDEs
Best practice (table 6)
Documentation
Follow-up
Method (Annex 2/ table 5)
Template for documentation of
stakeholder
involvement
and
consultation (Figure 3/Annex 2).
Public Forums
Focus groups
Training workshops
Recommendation for NDE
Like Colombia, NDEs should
document their consultations in
order to keep a record of 1)
objectives, 2) commitments, 3)
agreements or 4) concessions
undertaken with the stakeholder.
NDEs can use the template in
Annex 2 to tack:
 The objectives of the
consultation
 Any requests put up for further
development or consideration
by stakeholders
 If the NDE committed to
moving forward with or
developing any requests
Having developed a comprehensive
database, Colombia used this to
develop an action plan for potential
follow-up
and
training
of
stakeholders.
NDEs can create a similar action
plan
for
follow-up
with
stakeholders by:
 Developing an action plan for
future stakeholder
engagement
 Keeping the stakeholder
informed of any developments
with requests
 Inviting feedback on new,
revised or final requests
References
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Aaltonen, S., & Kreutz, E. (2009). Engage your Stakeholders: Stakeholder Involvement Toolkit for Local
Authorities.
Hovland, I. (2005). Successful Communication. Overseas Development Institute (ODI), September 2005.
IFC. (2008). Stakeholder Engagement: A good practice handbook for companies doing business in
emerging markets. Washington, D.C.
Morgan, C. A. (2015). Stakeholder Consultation: Keep Your Ears To The Ground. Retrieved May 20, 2015,
from https://www.b2binternational.com/publications/stakeholder-consultation/
Partridge, K., Jackson, C., Wheeler, D., & Zohar, A. (2005). The Stakeholder Engagement Manual Volume
1: The Guide to Practitioners’ Perspectives on Stakeholder Engagement (Vol. 1).
REQB (2014). REQB Certified Professional for Requirements Engineering: Foundation Level. Requirements
Engineering Qualification Board.
Santandreu, A. (2014). Un instrumento colaborativo desde la gestión del conocimiento para el
aprendizaje y el cambio. ECOSAD.
von Luepke, H. (2013). Stakeholder Engagement and National Consultations for the NDE and CTCN:
Training Workshop For NDEs of the CTCN (Presentation).
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Annexes
Annex 1: Template for documentation of stakeholder mapping
Stakeholder
Category
Interests
Role
Relevance
Rank
Name of
identified
stakeholder
funders, employees,
senior leadership,
organizational
partners, or
competitors, etc.
planning,
programme
design, strategic
development,
financial gain,
etc.
data or
information
provider, focal
point, industry
representative,
project
beneficiary, etc.
importance to
technology
transfer process
1,2,3,4,5,
etc.
Annex 2: Template for documentation of stakeholder consultations and involvement
Organisation/
Stakeholder
Date and
Place
Name and
title of NDE
staff in
attendance
Contact
Persons/Org
anisation
Key issues
raised
Agreements
reached
Follow-up
actions
Multi-Purpose
Government
Cooperative for
Farmers
May 20,
2014
Amhara
Savings and
Credit
Union,
Michael
Debir,
Ethiopia
Jane Doe,
Engagement
Officer
Estefanos
Demessie,
Agricultural
Extension
Officer
Premium
payment
issues; risk
reduction
activity
locations;
seed
distribution
Risk reduction
activities will
take place in 4
villages; 350
farmers will
receive
improved
seeds
Estafanos to
call meeting
of insurance
committee;
risk reduction
activities to
be agreed
upon by
agricultural
extension
agents.
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