Develop institutional capacity for adaptation During the ToT we asked the participants to work in groups and put together all relevant information for their specific topic (water, climate, agriculture, governance, society and economy) and present it to their colleagues

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Rationale Objective Importance Application Comprehensive strategic approach to capacities needed for action on adaptation Importance Prepare effective implementation: Skilled experts, as well as appropriate institutional structures and processes, are necessary for systematic and strategic action on climate change adaptation. Foster institutional learning and adaptive management: Gathering experience is critical for long-term success Application especially as part of planning, should be ongoing

Institutional Capacity Development for adaptation: some definitions Institutions: Systems of rules, decision-making procedures, and programs that give rise to social practices; they assign roles to participants and guide interaction (IHDP) Capacity Development: Develop capacities to manage resources efficiently in order to achieve desired results in a sustainable manner Capacity Development for adaptation: Capacities that enable countries/communities to (1) undertake adaptation measures and (2) continue adapt on an ongoing basis Institutions enable social life and provide stability. They emerge from long debates and therefore show a certain robustness to change. CC means new info, and as institutions continue to evolve they need to integrate the new information, and adapt their procedures accordingly.

Capacity Development at different levels Organisational development How: Change management What: M&E, adaptive mgmt processes, steering and planning, knowledge management Organisational development Network development Human resources development System development in the policy field Source: GTZ Capacity WORKS, adapted

Capacity Development at different levels Human resources development How: Coaching and training What: Technical skills, management skills, soft skills Organisational development Network development Human resources development System development in the policy field Source: GTZ Capacity WORKS, adapted

Capacity Development at different levels Organisational development Network development Human resources development System development in the policy field Network development How: Network management What: development and steering of cooperative systems to benefit from comparative advantages and economies of scale Source: GTZ Capacity WORKS, adapted

Capacity Development at different levels Organisational development Network development Human resources development System development in the policy field System development/policy field How: Policy advice What: Negotiation schemes, process design to ensure rule of law and participation Source: GTZ Capacity WORKS, adapted

Adaptive capacity and capacity for adaptation: different frameworks (1) In the case of climate change, adaptive capacity and capacity for adaptation are closely related: continuum of soft and targeted approaches Assets-based frameworks: ‘What resources do I have that can help me adapt?’ Asset-based approaches at local level often use the livelihoods concept, dealing with the five capitals: human, social, natural, physical, financial Functions-based approaches give insight in unique situation of institutions and their functions per country Social Adaptation Framework by IUCN: factors influencing AdaptCap Individual level: e.g. flexibility to swap occupation, employability, income diversity by households Community level: gender relations, capacity to re-organize

Adaptive capacity and capacity for adaptation: different frameworks (2) Source: The adaptive capacity wheel – Gupta (2010) Assets-based frameworks: ‘What resources do I have that can help me adapt?’ Adaptive Capacity Wheel Variety Variety of problem frames: Room for multiple frames of references, opinions and problem definitions Multi-actor, multi-level, multi-sector: Involvement of different actors, levels and sectors in the governance process Diversity of solutions: Availability of a wide range of different policy options to tackle a problem Redundancy (duplication): Presence of overlapping measures and back-up systems; not cost-effective Learning Capacity Trust: Presence of institutional patterns that promote mutual respect and trust Single loop learning: Ability of institutional patterns to learn from past experiences and improve their routines Double loop learning: Evidence of changes in assumptions, underlying institutional patterns Discuss doubts: Institutional openness towards uncertainties Institutional memory: Institutional provision of monitoring and evaluation processes of policy experiences Room for autonomous change Continuous access to information: Accessibility of data within institutional memory and early warning systems to individuals Act according to plan: Increasing the ability of individuals to act by providing plans and scripts for action, especially in case of disasters Capacity to improvise: Increasing the capacity of individuals to self-organize and innovate; foster social capital Leadership Visionary: Room for long-term visions and reformist leaders Entrepreneurial: Room for leaders that stimulate actions and undertakings; leadership by example Collaborative: Room for leaders who encourage collaboration between different actors; adaptive co-management Resources Authority: Provision of accepted or legitimate forms of power; whether or not institutional rules are embedded in constitutional laws Human resources: Availability of expertise, knowledge and human labor Financial resources: Availability of financial resources to support policy measures and financial incentives Fair governance Legitimacy: Whether there is public support for a specific institution Equity: Whether or not institutional rules are fair Responsiveness: Whether or not institutional patterns show response to society Accountability: Whether or not institutional patterns provide accountability procedures

Planning for Adaptation Action and Capacity Building Adaptive capacity and capacity for adaptation: different frameworks (3) Functions-based framework: ‘What am I able to do that can help me adapt?’ NAC Assess Function of ‘Adaptation System’ Planning for Adaptation Action and Capacity Building System Function Changes Implement Plans The National Adaptive Capacity Framework. Source WRI (2009)

Steps towards institutional capacities for adaptation in planning and management  The National Adaptive Capacity Framework by WRI Adaptation involves specific processes within planning and management What must be done MORE or DIFFERENTLY to integrate adaptation within the following processes? Assessment Planning Coordination Information management and Implementation

Adaptation functions and capacities required (1) Assessment Research/examine information to guide decision-making. Planning Assign special importance to particular issues, areas, sectors, or populations over various time horizons to allow for prioritized strategic interventions. Coordination Coordinate the actions of various actors at multiple levels for participation and to avoid duplication or gaps, create economies of scale in responding to challenges. » Refer to training manual for examples Assessment: ? Are there national impact and vulnerability assessments? ? Have existing adaptation efforts be inventoried? ? Do national planning documents refer to climate-related information? ! Start with existing information instead of running a nation-wide new survey Planning: ? Have national priorities for adaptation been identified? ! Often decisions are made at national level, which moves slower than at smaller scale (sector, community): take existing bottom-up activities into account for efficiency as well as participations sake Coordination: ? Who needs to participate in the process? ? Who is in charge of the coordination? ? Are the clear guideline for the process? ! CC adaptation is an iterative process, processes and structures are likely to evolve over time, from sharing information up to making joint decisions Source: Adapted from WRI (2009) www.wri.org/project/vulnerability-and-adaptation/nac-framework

Adaptation functions and capacities required (2) Information management Collect, analyse, and provide knowledge in support of adaptation activities. Develop and disseminate information in a way to ensures that it is useful and accessible to stakeholders. Implementation: climate risk reduction Prioritise risks, evaluate options for addressing the risks, and finance and implement risk reduction measures. » Refer to training manual for examples Information management (linked with assessment) ? Is relevant information accessible for stakeholders? ? Are stakeholders capable to make use of information? Implementation: climate risk reduction ? Have climate risks been assessed? ? Have adaptation options been thoroughly assessed? ? What is needed to implement selected measures on the ground? ! Risk reduction includes hard and soft options Source: Adapted from WRI (2009) www.wri.org/project/vulnerability-and-adaptation/nac-framework

Adaptive management – Learning by doing 1. Conceptualize Define initial team Define scope, vision, targets Identify critical threats Complete situation analysis Aims to reduce uncertainty and improve performance over time by system monitoring evaluating results adjusting actions on the basis of what has been learned Reactive AM – Proactive AM Examples: Fish catch limits Water use restrictions 5. Capture and Share Learning Document learning Share learning Create learning environment 2. Plan Actions and Monitoring Develop goals, strategies, assumptions and objectives Develop monitoring plan Develop operational plan Conservation Measures Partnership Open Standards » This part is additional, and not crucially needed to do the case wok. However, it is an important issues when discussing capacity development and change management, so you may want to raise it during presentation/reflection. Reactive adaptive management values learning only insofar as it improves decision outcomes. Proactive adaptive management explicitly seeks for learning experiences and decisions which improve learning are valued over those which do not. Active adaptive management important in CC adapt: new topics  trial and error build on existing strategies where it makes sense 4. Analyze, Use, Adapt Prepare data for analysis Analyze results Adapt strategic plan 3. Implement Actions and Monitoring Develop work plan and timeline Develop and refine budget Implement plans Source: https://miradi.org/openstandards

Exercise (1) Context Exhibits Continue work in adaptation advisory group of State Water Authority (SWA)  your working group SWA asks for support to guide a multi-year institutional capacity development in the five areas of the National Adaptation Capacity Framework: What needs to be done beyond the status quo to integrate adaptation to climate change into these functions? Exhibits Box on the National Adaptive Capacity Framework SWA realizes that they are not well-equipped to carry out the strategy and replicate adaptation processes. They have identified the key areas in which they wish to develop capacity to deal with water management and adaptation. Your team is requested to provide suggestions for building capacity in these five functions: Assessment Planning Information Coordination Implementation

Exercise (2) Your task In Matrix 12 Column B lists what the SWA is already doing to carry out key functions for managing water in the state In column C, brainstorm recommendations: Which additional or differently shaped short-/medium-term activities are needed to integrate adaptation into SWA’s work? In column D consider which capacity development activities are needed to implement the new activities In column E, brainstorm what activities are needed to improve water management under climate change in the long-run C brainstorm recommendations for what the SWP needs to do to integrate adaptation to climate change into each of these functions. Document the products or results for each function. D Think of individual (human resources, e.g. focal points trained on using scenarios) and organizational capacities (e.g. management team plans by using the four-step approach); you may also find institutional capacities that can be enhanced within the network of concerned institutions (e.g. exchange with other sector agencies). E Long-term or totally new activities

Exercise – example A State water programme functions/ capacities B Existing activities for water management C Which short-/ medium-term activities are needed to integrate adaptation in SWA’s work? D What capacity development activities are needed to implement the new activities? E Which long-term activities could improve water management under climate change? Assessment Concerns: emerging climate risks, adaptation options State water resources inventory Projected water demand and supply scenarios Climate change scenarios Climate change impact assessments Identification of adaptation options Adaptation cost assessments Train adaptation focal points on scenarios Train management team on the 4-step approach Joint impact assessments with water and climate change experts Cross-check projected developments with existing country data

Exercise (3) Results Logistics (please specify) Case work* Presentation of results (please specify how)* Reflection* *Please use your own examples here.

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