1. 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

2. Imprint
As a federally owned enterprise, GIZ supports the German Government in achieving its objectives in the field of international cooperation for sustainable development.
Published by Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH
Dag-Hammarskjöld-Weg Eschborn, Germany T F
Contact E I
GIZ Climate Protection Programme
Responsible Ilona Porsché, GIZ; Michael Scholze, GIZ
Authors Jennifer Frankel-Reed, Barbara Fröde-Thierfelder, Ilona Porsché
Contributions by Alfred Eberhardt, Mark Svendsen, Lea Herberg, Martin Baumgart, Udo Höggel, Michael Scholze, Alexander Fröde, Nana Künkel, members of the OECD Task Team on Climate Change and Development Co-operation
Coordination Ilona Porsché, Barbara Fröde-Thierfelder
Photo credits © GIZ/Climate Protection Programme and Claudia Altmann, Dirk Ostermeier, Florian Kopp, Georg Buchholz, Ira Olaleye, Jörg Böthling, Manuel Hauptmann, Markus Kirchgessner, Michael Gajo, Michael Netzhammer, Nicole Herzog, Peter Korneffel, Richard Lord, Robert Heine, Rüdiger Behrens, Ulrich Scholz, Ursula Meissner, Uwe Rau
Design Ira Olaleye
Articles written by named authors do not necessarily reflect the views of the editors.

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4. 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

5. 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.

6. 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

7. 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

8. 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

9. 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

10. 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

11. 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

12. 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)

13. 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

14. 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)

15. 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)

16. 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:

17. 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

18. 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

19. 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

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

21. Title
Text
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