1. Module IV.1 Developing capacities for National Adaptation Planning Trainer: [Name]

2. Overview of this module
Capacity development refers to both ‘institutions’ and ‘individuals’
How to use capacity development to solve common barriers to effective adaptation planning
Examples from Benin and Malawi
Reflection space: what would you do?
This module will help learners to understand ‘how’ to build capacities to achieve national adaptation planning objectives. It builds specifically on Module II.1 (stock-taking) where learners use 7 success factors to assess considered essential for achieving adaptation objectives. A three level framework for capacity development for individuals and institutions is presented with examples of how the framework can be applied in practice. During the case exercise learners are encouraged to apply the framework to their own situations and to discuss the efficacy of the approach. Reference is also made to Module II.2 (Institutions and Stakeholders) which presents success stories from countries that have effectively implemented climate change actions.

3. What can you expect to learn from this session?
Understand how capacity development can enable adaptation planning and solve problems
Appreciate the central role of skills development
Some practical examples that could inspire action in your country
By the end of this module participants will be able to:
• Describe what capacity development for adaptation planning is all about;
• Identify key barriers to effective adaptation planning and how these can be addressed through a capacity development approach;
• Identify tailor made approaches for capacity development based on country experience, that are both gender sensitive and sustainable.

4. Some definitions of capacity development
“The process through which individuals, organisations and societies obtain, strengthen and maintain their capabilities to set and achieve their own development objectives over time”, UNDP 2011 Elements include: skills, systems, structures, processes, values, resources and powers that together confer capabilities
 The OECD (2011) has defined capacity development as “the process whereby people, organisations and society as a whole unleash, strengthen, create, adapt and maintain capacity over time”.
The UNDP (2011) defines capacity development as “the process through which individuals, organisations and societies obtain, strengthen and maintain their capabilities to set and achieve their own development objectives over time. Components of capacity include skills, systems, structures, processes, values, resources and powers that together, confer a range of political, managerial and technical capabilities”.
Capacity development focuses on countries’ human, scientific, technological, organizational, and institutional and resource capabilities. The goal of capacity development is to tackle problems related to policy and development, while considering the potential, limits and needs of people in the country concerned.
Measures such as education, training and institutional reforms are a means to an end, while the end itself may be defined as the capacity to achieve identified objectives over time. Therefore capacity development can be seen as a development outcome in its own right, alongside other important outcomes such as peace and security, poverty reduction, universal education and environmental sustainability.
As we shall discover this is particularly important in the context of climate change. The inherent uncertainty that goes with planning for climate change in the medium to long term means that public institutions, and the individuals that make up those institutions, will need to be able to adapt to a range of possible climate futures. They will need to become more flexible in the way that they make decisions, and more adept in the use of multiple sources of information.
Key question to participants: How many possible climate futures do you envisage for your country? What could they look like?

5. Is capacity development a means to an end, or an outcome in its own right?

6. Capacity development framework for adaptation planning
Capacity development equips institutions and individuals with the necessary skills and expertise to overcome barriers and enable adaptation outcomes.
The NAPs Technical Guidelines (LEG, 2012) show that integrating climate change adaptation into national planning is not a one-time activity and it touches upon many sectors, stakeholders and planning levels (national to local) simultaneously. The national adaptation plans focus on sectors of strategic importance that contribute to the countries broader national development objectives. To save resources and to achieve the objective of integrating adaptation into development planning, countries can make use of already existing planning structures and capacities.
Stocktaking exercises assist in identifying existing entry points for NAP’s. Stocktaking should include capacity assessments (both individual and institutional) for effective adaptation planning as well as strategic interventions for capacity development.
During Module II.1 (stocktaking) a specific tool was introduced – Stocktaking for National Adaptation Planning (SNAP) – as a means of helping countries to identify their ‘point of departure’ for developing a NAP.
The SNAP tool assesses seven success factors for effective adaptation planning, including human and institutional factors.
Having assessed the existing status of planning capacities for adaptation through the SNAP, a road map for further capacity development can be developed (Figure).
Figure demonstrates elements of what a roadmap for capacity development could include, recognising that adaptation planning implies the need for institutional capacities and individual skills at several institutional levels (policy to operational).
For example in the area of disaster management capacity development might include strengthening communication and information sharing protocols between disaster relief agencies, while also putting in place a network of focal points within affected agencies linked to community networks on the ground. It might equally include building a systematic and recurrent skills development programme for government staff located at national, provincial and local levels with incentives to reward performance.
Notice in particular, from Figure, that individual skills relate not just to a technical understanding of climate change but equally the management and participatory abilities necessary to effect change. Figure also demonstrates the complexity and range of interactions likely to characterize adaptation planning and, by inference, the complexity of corresponding capacity development actions necessary to support this process.
Capacity development therefore cuts across the whole NAP process, contributing to the effectiveness of institutional arrangements, data-gathering, communications, financing and implementation, monitoring and evaluation (from Element A to Element D of the NAP Technical Guidelines). Capacity development efforts are designed to equip teams (individuals) and institutions with the necessary skills and expertise, to build an appropriate enabling environment for the NAP process.
To this framework it can be added more recent understanding of capacity development for adaptation to climate change. For example Gupta et al. (2010) define the concept of adaptive capacity as “the ability of a system to adjust to climate change, to moderate potential damages, to take advantage of opportunities, or to cope with consequences”.
Institutions that empower and capacitate social actors to respond to short and long term impacts, both through formal planned responses or by encouraging responsive/reactive action, are those likely to have high adaptive capacity. Following an extreme weather-related disaster event, for example, immediate relief efforts are usually undertaken by the affected people in the disaster area, while interventions through official institutions and channels tend to come later. This example points the importance of first enhancing the self-help capacities of affected communities, by encouraging experiential learning and reaction.
Participants are encouraged to reflect on and discuss each element of the capacity development framework within the context of a specific element of adaptation planning which they will select (e.g. the use of climate science information, Figure ).
What institutional capacities would be necessary at the policy level?
What institutional capacities would be necessary at the organizational level?
What individual capacities would be required at all levels?
In each case how can adaptive capacity be strengthened – i.e. the ability to adjust and be proactive in the face of uncertainty?
Key Question to Participants: What does adaptive capacity mean when applied to institutions and individuals?
Source: UNITAR (2014), Skills Assessment for National Adaptation Planning - In draft.

7. Types of skills
At each institutional level, there are different skills needed to communicate ideas, share knowledge, and coordinate actions:
Technical
Management
Participatory/leadership (e.g. communication)

8. Identifying skills
Specific individual skill sets contribute to the achievement of institutional adaptive capacity
Institutional capacity
Individual skills
Technical
Managerial
Participatory
Clear mandate for CCA in place
T1, T4
M1, M5 P1
CCA integrated into national development plans
T1, T3
M1, M3
P1, P4
Source: UNITAR (2014), Skills Assessment for National Adaptation Planning - In draft.
T1: Adaptation science; T3: Mainstreaming;T4: Legal drafting; etc.
M1: Strategic leadership; M3: Visioning; M5: Time management; etc.
P1: Coordination; P4: Public speaking; etc.

9. Capacity development for what?
How can a capacity development approach be used to solve some common barriers to adaptation planning:
Fragmented national mandates for climate change adaptation;
Skewed availability of information and knowledge.
Some of the most commonly experienced institutional barriers likely to affect climate change adaptation planning and implementation in developing countries include:
Fragmented national mandates on climate change;
Limited communication and dialogue across government;
Within organisations/departments
Between departments/sectors (i.e. vertical)
Between different levels of government (i.e. horizontal)
Skewed availability of technical skills and knowledge;
Patchy or intermittent political support from parliamentarians and thought leaders;
Perceived conflicts of interest linked to the climate change agenda;
Uncertainty over financial resources for climate change.
Key question for participants: How could the proposed capacity development framework help to overcome these barriers?

10. Institutional capacity
Capacity development to address: fragmented national mandates for adaptation
What institutional level are you considering?
What is your desired outcome?
What institutional capacities needed at that level?
What individual skills?
Institutional level
Desired outcome
Institutional capacity
Individual skills
Policy level
Enhanced coordination; ability to prioritize CCA
Clear mandate for CCA in place
Leadership
Coordination
Communication
Source: UNITAR (2014), Skills Assessment for National Adaptation Planning - In draft.
Skills development plan

11. Institutional capacity
Capacity development to address: skewed availability information and knowledge
What institutional level are you considering?
What is your desired outcome?
What institutional capacities would be necessary at that level?
What individual skills?
Institutional level
Desired outcome
Institutional capacity
Individual skills
Organisational level
Culture of knowledge sharing
Efficient systems of data exchange
Management
Technical
Source: UNITAR (2014), Skills Assessment for National Adaptation Planning - In draft.
Skills development plan

12. Reality check: Capacity development for adaptation planning needs to be multi level: policy, organisational and operational It should be a strategy

13. Malawi: addressing fragmented national mandates for adaptation
The Malawi example is one which has been largely government lead with support from a UNDP National Climate Change Programme (NCC). Here issues of fragmented national mandates on climate change, as well as limited dialogue across government institutions, have been addressed by building on and strengthening existing national institutional structures and coordination mechanisms, as indicated in Figure D.
At the operational level, skills for personnel within the lead agency for climate change were strengthened through targeted face to face training courses (e.g. climate change negotiation skills, climate finance readiness);
At the organizational level, a climate change lead agency was established within government with strong secretariat functions in place, particularly in terms of project management, so that work plans are agreed, delivered and reported on systematically;
At the policy level, a cross-sectoral mandate on climate change was designed utilising pre-existing institutional mechanisms under the overall leadership of the Ministry of Economic Planning and Development. These include a National Climate Change Steering Committee, National Climate Change Technical Committee, and a Government/Development Partners Working Group.
Key question for participants: Who is the lead agency on adaptation planning in your country?

14. Benin: addressing skewed availability of information on climate finance
The UN CC:Learn programme in Benin provides an example of how to strengthen individual skills and institutional capacities to the address the problem of skewed availability of knowledge and skills on climate change adaptation across key ministries, particularly in the area of climate finance. Measures to address this weakness were put in place at all three levels of the capacity development framework, as indicated in Figure.
At the operational level, a four day training event was conducted for government staff to better understand the multiple sources of financing available and how best to access and sequence these resources. Incentives to ensure that knowledge acquired during the training was applied were also put in place (i.e. small awards provided for the best five concepts so that they can be turned into full proposals);
At the organizational level opportunities for collaboration between sectors and tiers of government (local to national) to formulate funding proposals were identified and a unit was established within the Ministry of Environment to provide technical back-stopping for the drafting of project proposals;
At the policy level, a systematic and results oriented approach to climate change learning was put in place, closely linked to a pre-existing national climate change strategy recognizing developmental effects on human health, food security, and economic development.
Key question for participants: are there any incentives in place in your organization to reward new skills acquired?
Reflection on the two examples:
These case studies (Benin and Malawi) show that in order to develop capacity for adaptation planning it is important to intervene at different institutional levels, avoiding isolated capacity building actions (for example by targeting exclusively individual skills in one sector, or developing a new policy without putting in place an organizational mechanism to give it effect).
The Benin example focused in particular on the Operational-level by designing behavior incentive mechanisms and strengthening individual skills, while the Malawi case study emphasized action at the Organizational-scale establishing a strong lead government agency and centralizing secretariat functions.
Yet both show the importance of developing a package of actions to ensure a positive and long-term impact on overall capacity development for adaptation.
In addition, these examples show what capacity development efforts could look like in practice. Both Malawi and Benin made use of face-to-face training workshops to strengthen skills at the individual level. Such events serve a dual purpose, also bringing together heterogeneous groups of stakeholders through common learning and knowledge sharing. GIZ (2014) identifies several other learning formats that could be used for capacity development activities:
Face-to-Face Modules, Joint Trainings (showed by the Malawi and Benin case studies);
Learning with New and Social Media (E-learning, Webinars, MOOCS – Massive On-line Open Courses, etc.);
Conferences, Knowledge Sharing and Expert Networks;
Accompanied Self-Study (tailor-made learning modules, self-management);
Coaching and Consultation for individuals and groups;
Open Innovation (self-directed peer learning designed by experts for mutual professional support);
Learning Tours and Professional Study Tours;
Theory & Learning in Practice (two weeks up to one year at a given learning location and learning time);
Reflection (learning from long-term experience and through practical reflection);
Training of Trainers.
All of them can contribute to the development of individual skills and institutional capacities for adaptation planning. Some of them build on traditional learning methodologies (Face-to-Face Modules, Conferences, Learning Tours, Training of Trainers, etc.) that physically bring individuals together to facilitate creative knowledge sharing and generation, expert-led and peer-to-peer learning. Other formats such as Learning with New Media, Accompanied Self-study, Open Innovation, etc. take advantage of the new media and information technologies to create a more customized, self-paced and flexible (in terms of time and place) learning.
Key question for participants: What would prevent this approach to capacity development being implemented in your country?

15. What have we learned?
Need individual skills and institutional capacities, so that new skills acquired can actually be applied;
Skills can be technical, managerial, or participatory;
Avoid isolated actions; make the connections and build at different levels (policy, organisational, operational);
What have you learned from this session?

16. Exercise: Capacity development needs and approaches
You are invited to reflect all relevant dimensions of capacities
Please work in ‘whisper groups’ with your neighbours, discuss and take notes about
the needed capacities as well as
how required capacities can be strengthened
Use Matrix IV.1.1 to document your findings.
Be prepared to present your results to the plenary.

17. Imprint
Published by Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH
Climate Policy Support Project
Dag-Hammarskjöld-Weg Eschborn, Germany T F
Contact E I
Responsible Nele Bünner, GIZ
Authors Angus Mackay, Ilaria Gallo
This presentation is part of a NAP country-level training that has been developed by GIZ on behalf of BMZ and in cooperation with the NAP Global Support Programme (NAP-GSP), in particular UNDP and UNITAR.
The training is designed to support countries in setting up a National Adaptation Plan (NAP) process. It builds on the NAP Technical Guidelines developed by the Least- Developed Countries Expert Group (LEG).
You are welcome to use the slides, as long as you do not alter its content or design (including the logos), nor this imprint. If you have any questions regarding the training, please contact Till Below or Nele Bünner at GIZ. For questions related to the Technical Guidelines, please refer to the UNFCCC’s NAP Support Portal.
As a federally owned enterprise, the Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH supports the German Government in achieving its objectives in the field of international cooperation for sustainable development. GIZ also engages in human resource development, advanced training and dialogue.