practitioner's guide: capacity development for environmental sustainability

7/27/2019 Practitioner's Guide: Capacity Development for Environmental Sustainability

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y a n d C C y

United ations evelopment rogramme

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Practitioners Guide:

Capacity Development for Environmental Sustainability

march 2011

undp is the uns ga eeet etwrk, acatig

r chage a cectig ctries t kwege,

exeriece a resrces t he i ee a etter ie.

right undp 2011

rights resere

maactre i the uite tates erica

uite natis deeet prgrae

oe uite natis paza, new yrk, ny 10017, u

er htgrah: Gett ages.


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We are ease t share this practitiers Gie: aacit deeet r ireta staiaiit,which rigs tgether undps exerieces a exertise i th caacit eeet a eireta

sstaiaiit, t rie ractica giace r undp sta, eeet ractitiers, a arters. he

Gie is undps era arach t srtig caacit eeet earatig secic

giace a ts r stregtheig caacities reate t eireta aistreaig a aageet

a t this e is a irtat aiti t undps ackage serices a assciate rcts.

t the heart caacit eeet r eireta sstaiaiit is the iextricae ik etwee the

eiret a sci-ecic eeet. csste gs a serices a a critica re i the

risi ieihs, g heath, haitae eirs a resiiec r r ee ar the wr.

erse, i ecsste gs a serices are egrae r access is eie, ert is exacerate

a the atra resrce caita r ecic eeet is crise. his ikage etweeeiret a eeet was recgize i gea 21, agree t at the uite natis erece

iret a deeet he i i e Jaeir i 1992, which sets rth a ga a acti

r sstaiae eeet. the 20 ears sice i, the iacts ciate chage sci-ecic

eeet hae ece cearer, caig r re rget, ire, a iatie araches t

ee ctries asrtie caacities a sci-ecic resiiece t eireta ertratis.

that e, undp srts ctries caacit eeet ees t achiee eireta sstaiaiit.

undp cses srtig ctries as the stregthe their istittia raewrks eee t

etter aage the iheret cex reatishi etwee eiret a eeet i rer t

eet a sstai sci-ecic a eireta tces. his practitiers Gie is a articar

irtat t t cataze the reicati g ractices t ee a sstai atia caacities r

eireta sstaiaiit. Whie this Gie ries a set ractica ts, a a series case sties

cetig chaeges a esss eare, it reais a wrk i rgress. his Gie wi ctie t

ee er tie, iig the aicati the ts ctaie therei, ew exerieces, a ew

sciece. that e, we iite ractitiers t share eeack a esss eare as art the arger

cit ractice eireta sstaiaiit.

We are cet that this Gie wi e a irtat ctriti t the stregtheig the caaiities

r w rgaizati a eeet arters a ractitiers as we acate, rgrae r, a

easre the iact caacit eeet r eireta sstaiaiit.

veere vaeweer nis bese

directr, iret a erg Gr directr, aacit deeet Gr

brea r deeet pic brea r deeet pic

foreword


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UNDP Advisory Group:

lia Ghai

H merger

Jeier ie

tehe G

Kei Hi

pa teee

wiig-War

Consultant:

sa s

Case Studies and Examples:

marce ers a ert Ke (ea deeet mechais)

beia bwig (unp, ase st #4 - ghaista)

rew rae-dresch a hares naiga (it-base atati)

Jia W (atati learig mechais)

bateger lza (pic priate partershis r erice deier)

pats ss (undp Gaa)

dai ith a ise hristese (ase t #3 pert-iret itiatie)

pa ar a Jaki Hari (ase t #2 - a-net)

marc va er ee (un vteers)

ice hweza (naiia)

Additionally, this guide would not have been possible without the various

contributions and eedback received rom colleagues involved in capacity

development or environmental sustainability.

acknowledgements


5/110ractitioners uide: Capacit evelopment or nvironmental ustainabilit

db rica deeet bak

lm atati learig mechais

b2 aacit-biig 2 (Ga iret faciit rgrae)

bdp brea r deeet pic (undp)

b it-base atati prgrae

bo it-base orgaisati

d aacit deeet

d aacit deeet r ireta staiaiit

dm ea deeet mechais

d aaia teratia deeet gec

un un cic issi r rica

G iret a erg Gr (undp, bdp)

ireta act ssessetnGo ireta n-Geret orgaisati

ireta staiaiit

Gf Ga iret faciit

GHG Greehse Gas

GZ Gera echica erati

Hd Ha esrces deeet

Wm tegrate Water esrce maageet

un Wr serati ui

mdG(s) miei deeet Ga(s)

m mtiatera ireta greeet

nGo n-Geret orgaisatip undp-unp pert-iret itiatie

pp pert iret partershi

pppd pic-priate partershis r erice deier

pp pert ecti trateg paer

bm ests-base maageet

Gp a Grats prgrae

undp uite natis deeet prgrae

undG uite natis deeet Gr

unbd un eti bigica diersit (biiersit)

und un eti t at deserticati

unf un fraewrk eti iate hageW Water a aitati erices

Zopp GZs Ga oriete prject paig

ractitioners uide: Capacit evelopment or nvironmental ustainabilit

acronyms and abbreiations


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v ractitioners uide: Capacit evelopment or nvironmental ustainabilit

aacit eeet a eireta sstaiaiit are th cetra t undps aate a rgraig.

he rse this practitiers Gie is t rie ractica giace t undp sta, arter ctries

a ther eeet arters the atre eireta caacit a hw t srt caacit

eeet r eireta sstaiaiit (d). he gie is undps Practice Note on Capacity

Developmenta Practice Note on Capacity Assessmenta icrrates est ractices r d exeriece

t ate. he ai text this gie resets the undp arach t d, icig giig ricies, a

aatica raewrk a a e-ste rcess that ca e aate t aris settigs. ex ries ractica

ts t ieet this arach, ex b ries case sties, a ex ists reereces.

aacit eeet r eireta sstaiaiit is ee as the rcess which iiias,

rgaisatis a scieties stregthe their aiit t aress eireta isses, aage atra resrce

isses, a aistrea eireta sstaiaiit it eeet icies, as a ecisis.

srt the achieeet eireta sstaiaiit, undp srt t d a ie stregtheig

caacities withi e r re these three iterreate es actiit:

1. Environmental Mainstreaming: icig itegrati eireta sstaiaiit riritiesit atia a s-atia ic, ega, aig a getig raewrks; acrss ke

eeet sectrs; a acrss aris segets sciet.

2. Environment sector, icig traitia eireta aageet actiities sch as air,

water a waste aageet; ti reeti a ctr; rtecti iiersit a

rtecte areas aageet (a ice risi water, saitati a eerg serices).

3. Natural resource sectors, icig sstaiae aageet a se reewae a -

reewae resrces.

eera chaeges t d erts arise r the atre eireta sstaiaiit (), icig:

Diversity of global, national and local ecosystems; ecological conditions; and human-ecosystem

interactions, which reqires that d e taire t secic gegrahica a scia ctexts;

Political nature of environmental decisions, which raises isses eqit a ha rights, as

we as geret a riate sectr acctaiit, ressieess a eaershi;

Multi-sectoral nature of environmental issues, which reqires that caacit sh e eee

acrss sectrs a withi aris segets sciet;

Interdisciplinary nature of ES solutions, which reqires eeig the caacit t itegrate

ierse scietic a scia sciece isciies, a ca a traitia kwege; a

Exclusion of ecological goods and services from macro and microeconomics, which reqires

iig ew caacities r icig ecic aati these assets i ecisi-akig.

eecutie summary


7/110ractitioners uide: Capacit evelopment or nvironmental ustainabilit v

eecutie summary

undps aatica raewrk r d recgises three ees caacit the iiia, the rgaisati

a the eaig eiret (r sste ee), which ices the itica, scia, ecic, ic, ega

a regatr sstes withi which rgaisatis a iiias erate. he raewrk as ieties

ke caacities that ca e stregthee i rer t achiee secic eireta sstaiaiit gas.

hese ice unctional capacities eee t ertake the cre ctis ie i ieetig d

iitiaties, icig caacities t:

1. ssess a sitati, ee gas, a aase a chse tis;

2. frate icies, egisati, as a strategies;

3. bget, aage a ieet, icig iisig resrces;

4. mitr, eaate, rert a ear;

5. gage stakehers a ertake ti-sectra carati;

6. Geerate, aage, se a cicate irati a kwege; a

7. desig a/r rer eireta istittia arrageets

yg wa carrig shea rice nea, Katha vae, akh iage. rce: Gett ages.


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eecutie summary

he as ice technical capacities eee t carr t secic eireta a atra resrce

aageet actiities a t rte aistreaig , icig caacities t:

1. prtect, aage a sstaia se ecgica gs a serices;

2. desig a aage ti reeti, aateet, a ctr rgraes;

3. prtect, aage a sstaia se atra resrces;

4. ssess, rece a aage eiret-reate risks, sig the recatiar arach;

5. use ega a regatr ts r eireta sstaiaiit;

6. use awareess a ecati ts r eireta sstaiaiit;

7. use ecic istrets as ts r eireta sstaiaiit;

8. use tar istrets as ts r eireta sstaiaiit;

9. maistrea eireta sstaiaiit acrss eeet sectrs; a

10. eet ms a iteratia cerati rgraes.

undp has ietie r c cre isses that see t hae the greatest iece caacit

eeet:

1. Institutional Arrangements: the era raewrk r eeet aig a ecisi-

akig, icig itica, ega, regatr, ic a rgaisatia raewrks a

rcesses;

2. Accountability: ices rertig reatishis withi istittis a the tw-wa reatishi

etwee ic a riate sectr rgaisatis a thse wh are aecte their actis;

3. Environmental Leadership: the aiit rgaisatis a iiias t iece chage,

tiate acti a iise stakehers isses a

4. Knowledge and information: the asis r esrig that eeet ecisi-akig a

iitiaties are ire s scietic a techica irati reate t a the

ctet r eireta ecati a traiig i srt d.

his aatica raewrk ca e se rig the e-ste rcess r d, as ws:

1. gage stakehers i caacit eeet (this sh ctie thrgh the wig stes),

2. ssess caacit assets a ees,

3. frate the caacit eeet resse,

4. eet the caacit eeet resse, a

5. aate caacit eeet rests.


9/110ractitioners uide: Capacit evelopment or nvironmental ustainabilit v

eecutie summary

undp has a reewe re a si track recr t er as a eeet agec etrste t eier

d. he agecs Strategic Plan 2008-13 states that caacit eeet is its cre serice t rgrae

ctries a sitis eiret a sstaiae eeet as e r ractice areas. he

agec has ee a ke ctritr t the eig ther a ractice d sice the ear 1990s, a

has csierae exeriece at the ctr ee a i eeig d giace a ts, esecia i its

re as a ieetig agec r the Ga iret faciit.

undp srt t d ca ice tie araches withi the wig ra categries:

isr a techica srt t rgrae/rject esig, ieetati a itrig;

pic iage, acac a awareess-raisig d;

rati-sharig a carati ag stakehers;

Kwege aageet r eireta sstaiaiit;

tegrati d acrss undp practice reas; a

Ga artershis a jit rgraes eireta sstaiaiit.

here is icreasig recgiti that a rgraatic arach t d, ase g-ter iestet,

is a ke t sccess. fr undp, this eas akig d art its strategic arach t aistreaig

eireta sstaiaiit acrss agec rgraig. t the enabling environmentee, undp ca

srt ctr-e caacit eeet resses t stregthe the itica, scia, ic, ega a

regatr raewrks a citis that srt eireta sstaiaiit acrss sectrs. t the

organisational level, undp ca srt iitiaties t stregthe istittia arrageets a ire

the acctaiit a ressieess geret. t ca as he exa the caacities cii sciet,

ca cities a the riate sectr t ctrite t achieig eireta sstaiaiit. t the

individual level, undp ca srt actiities t esre that eireta ecati a traiig actiities

ceet erts t i caacit at the ther tw ees.


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frewr i

crs a reiatis iii

xectie ar i

1 Introduction 1

1.1 What is aacit deeet r ireta staiaiit? 1

1.2 he text r d 4

1.3 undp maate r d 6

1.4 haracteristics d 9

2 UNDP Approach to CDES 11

2.1 Giig pricies 112.2 lees aacit a tr pits 13

2.3 ireta aacities 16

2.4 re sses 18

3 Five-Step Process for CDES 20

te 1: gage stakehers i caacit eeet 21

te 2: ssess caacit assets a ees 23

te 3: frate the caacit eeet resse 26

te 4: eet the caacit eeet resse 27

te 5: aate caacit eeet rests 29

4 Programming Implications 31

4.1 undp tregths i d 31

4.2 undp prgraig r d 32

5 Lessons Learned: A Closer Look at the Core Issues 37

5.1 stittia rrageets 37

5.2 cctaiit 40

5.3 ireta leaershi 425.4 Kwege a rati 43

6 Conclusions 45

table of contents


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table of contents

Annex

ex . aacit deeet r ireta staiaiit: practica s 47

d #1: paig a prgraig 48

d #2: list ireta aacities 54

d #3: pssie aacit deeet esses 64

ex b: ase ties

ase t #1: natia aacit e-ssesset, Gf (xae: echees) 72

ase t #2: a-net: aacit biig i water t srt the mdGs 77

ase t #3: undp-unp pert-iret itiatie (xae: waa) 82

ase t #4. deeig ireta aacit i ict a

pst-ict tries: unp i ghaista 89

ex . eecte d eereces 95


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1 ractitioners uide: Capacit evelopment or nvironmental ustainabilit

1 UC

An essential ingredient in the UNDP capacity development approach is transformation that is

generated and sustained over time rom within.

1

aacit eeet a eireta sstaiaiit are th cetra t undps aate a

rgraig. his practitiers Gie ries a c aatica raewrk a ractica giace

r agec srt t caacit eeet r eireta sstaiaiit (d).2 he ai target

aiece is undp sta ie i rgrae/rject esig, aageet a itrig, a

their atia arters. t a as e se r exerts a rject teas riig ic aice a

rgrae eier serices, as we as caacit eeet ractitiers i the wier un sste a i

ther rgaisatis. his giace wi ee ase exeriece i its aicati, a ew ts a e

eee ase eergig ees.

his gie ceets undp practice ntes aacit deeet (undp, 2008a) aaacit

ssesset (undp, 2008) a icrrates est ractices a esss eare r extesie ga

exeriece i eireta caacit eeet. he ai the gie ties a aatica

raewrk a arach r d, whie ex ries ractica aig a rgraig ts t

ieet the arach. he gie is rgaize as ws: ecti 1 ries a ratiae r d a

ees ke ccets. ecti 2 ties undps arach t d, icig giig ricies, ees

caacit/etr its, ke eireta caacities a r cre isses i caacit eeet. ecti

3 sarizes a e-ste rcess r ertakig d. ecti 4 iscsses rgraig iicatis

a tis r undp. ecti 5 resets seecte esss eare regarig each the r cre isses.

hrt xae bxes istrate ke its thrght the gie. ex ries three ractica d

rgraig ts. ex b ries r case sties a ex ists seecte reereces.

1.1 What is Capacit evelopment or nvironmental ustainabilit?

Whie d ccets a eitis are sject t iscssi a ctie t ee, bx 1 resets

wrkig eitis r the rses this gie. s te i these eitis, a ke characteristic

eireta caacit eeet is its crss-cttig, ti-sectra atre. e sccess, d sh

e itegrate it tie eeet sectrs, gig e traitia eireta aageet

ctis. Whie atia eireta gerace sstes ar great, st ctries are ie i

three iterreate es actiit, a which ca eet r ire caacit:3

1 Adapted from UNDP, 2009d. Capacity Development: A UNDP Primer. www.undp.org/capacity2 The terms capacity development for environment and environmental capacity development are also used.3 Some practitioners prefer not to position environment as a sector since many environmental management functions involve regulating

other sectors. However, this document proposes this three-part typology for analyzing capacity at an operational level, which parallels the

typical division of roles among government agencies. Clearly, the three categories overlap in practice. Other typologies can be used, e.g.,

green issues can be said to cover air, water, soil and biodiversity i ssues, while brown issues relate to managing the environmental impacts of

human activities such as transportation and industry; however, these two categories also overlap.
http://content.undp.org/go/cms-service/download/asset/?asset_id=1654154http://content.undp.org/go/cms-service/download/asset/?asset_id=1684933http://content.undp.org/go/cms-service/download/asset/?asset_id=1684933http://www.undp.org/capacityhttp://www.undp.org/capacityhttp://content.undp.org/go/cms-service/download/asset/?asset_id=1684933http://content.undp.org/go/cms-service/download/asset/?asset_id=1684933http://content.undp.org/go/cms-service/download/asset/?asset_id=1654154


13/110ractitioners uide: Capacit evelopment or nvironmental ustainabilit 2

introduction

1. Environmental mainstreaming: ices itegrati eireta sstaiaiit ririties (a)

it atia a s-atia ic, ega, regatr, aig a getig raewrks, ()

acrss ke eeet sectrs, at ic, aig a eratia ees; a (c) acrss aris

segets sciet, icig geret, cii sciet a the riate sectr.

2. Environmental sector:his ices eireta aageet actiities sch as air, water,

si a waste aageet; ti reeti a ctr; rtecti iiersit,

icig ecsstes, secies a geetic resrces; a rtecte areas aageet. his

e a ice risi water, waste aageet, saitati a eerg serices,

athgh these ctis are te rie searate agecies, sa at the ca ee.

3. Natural resource sectors: ices rtecti a sstaiae aageet a se

reewae resrces, i sectrs sch as agrictre, restr, sheries, aqactre, htig a

harestig wiie; a sstaiae se -reewae resrces, sch as i, gas a ther

ieras.

he raewrk a ts rie i this gie ca e aie t caacit eeet t aress ciate

chage. Hweer, re etaie giace a e eee t aress the ra ciate chage agea,

which ices itigati, aatati a cit resiiece4 a a as e eee r ther

seciaize eireta sstaiaiit tics.

4 See, for example, OECD 2009, UNDG 2009, UNDG 2010b and UNDP 2010.

rce: Gf a Grats prgrae, car


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introduction

Bx 1. Ky C f

CCy he rcess thrgh which iiias, rgaisatis a scieties

tai, stregthe a aitai their caaiities t set a achieetheir w eeet jecties er tie. ets caac-

it ice skis, sstes, strctres, rcesses, aes, resrces

a wers that tgether, cer a rage itica, aageria a

techica caaiities.

y f

CCy aacit eeet ca ccr at the ee the iiia, the

rgaisati a the eaig eiret, which reers t the

ic, ega, regatr, ecic a scia sstes withi which

rgaisatis a iiias erate.

CCy aasis esire caacities agaist existig caacities, i rer

t ee a erstaig caacit assets a ees as the

asis r ratig a caacit eeet resse.

UBy ()he rtecti a sstaiae aageet a se ecsstes

a atra resrces, icig esrig eqitae access t, a

gerace , ecgica gs a serices. ireta sstai-

aiit is e the three iterckig cets sustainable

development, ag with scia a ecic sstaiaiit, a ais

t saegar the ecgica eriigs a eeet.

he itegrati eireta sstaiaiit it a asects

eeet, as cae r mdG arget 7a er mdG7: tegrate

the ricies sstaiae eeet it ctr icies a

rgraes; reerse ss eireta resrces. maistrea-

ig reqires that eireta csieratis e icrrate

it ecisi-akig withi a eeet sectrs a acrss a

segets sciet. t as ies harizig ca, atia a

ga eireta sstaiaiit ririties a actis.

CCy f

UBy (C)

he rcess which iiias, rgaisatis a scieties

stregthe their aiit t aress eireta isses, aage

atra resrces a esre that eireta sstaiaiit is

itegrate it eeet icies, as, rgraes a eci-sis, i.e., aistreaig.

C

he strctres a rcesses thrgh which eireta ecisis

are ae a ieete, icig itica sstes, istittia

arrageets, a echaiss t rte aherece t the re

aw, acctaiit, articiati, trasarec a ressieess.
http://www.undp.org/MDG/goal7.shtmlhttp://www.undp.org/MDG/goal7.shtml



introduction

K e wh is aecte , itereste i, a/r has a iece

a secic isse r ecisi, i this case, reate t eireta

sstaiaiit. his ices itera stakehers, i.e., actrs withi

the rgaisati r cit ressie r aressig the isse

at ha, a extera stakehers, i.e., actrs tsie the rgai-

sati that hae a stake i the isse ecase the are aecte ,

itereste i, r ae t iece the rests.

CC C

he eets t a iig rgaiss that arise r the ctiig

heath ecsstes, which rie the asis r ha sste-

ace a we-eig. he miei csste ssesset (2005)

iie these serices it r categries:

1) Provisioning, e.g. , water, re, e;

2) Regulating, e.g. ciate regati, water, triet cces, isease;

3) Cultural, e.g. sirita, aesthetic, recreatia, ecatia; a4) Supporting (e.g. at rcti, si rati, iati).

his ccet is te assciate with the iea atra cai-

ta, which extes the iea caita t ecsstes, i rer

t ersta their ite atre a the ee t esre the

are t eete r egrae e their aiit t recer

their rctiit.

C

his ter ca reer t either

1) the ecic sectr (ra a ira) that ices

rcreet a eier gs a serices erie r

ecsstes a/r atra resrces, e.g., water, eerg; r2) the ecic sectr that ries the gs a serices se

t easre, reet, iit, iiize r crrect eireta

aage, e.g., ti ctr, cea techgies. his c-

et wi se the rst eaig. (e reereces se this ter

as ss with ecgica gs a serices, ae.)

1.2 he Contet or C

series high-re ga eets, rgaize i resse t icreasig eireta eterirati

a the grwth the eireta eet, has ctrite t the ctiig rise eireta

sstaiaiit the ga agea. he uns 1972 tckh erece was e the rst ajr

iteratia cereces eireta isses. the ecae that we it, a the atis

ga a atia eireta gerace were ai (bais a ith, 2005). mst ctries create

atia eireta agecies with assciate aws a regatis, the un iret prgrae was

r, a the rst wae mtiatera ireta greeets (ms)5 cse ai wiie a

cea isses were asse.

5 MEAs include all international agreements, e.g., treaties, conventions, protocols, on environment-related topics.


16/110


introduction

he uns 1992 i erece r arth it arke ather trig it i ga erts t itegrate

eiret a eeet. he ccet sstaiae eeet, which ha eerge i the 1980s

(un, 1980 a Wd, 1987), tk cetre stage as a ew araig r eeet a gea 21 set t

a ga erit t achiee it. he un fraewrk eti iate hage a the eti

bigica diersit were ate, with the eti t at deserticati t w i 1994.

he sseqet ga ecic wtr swe rgress cerece receatis, et the

itereig eri eeta saw trees grwth i the er a rage actiities t aress

eireta sstaiaiit isses. t the ga ee, there has ee a rierati ms, with

assciate ieetig ies a rgraes.6 deeig ctries hae ate wie-ragig

istittia arrageets t aress eireta a atra resrce isses, te with iteratia

srt. he er a iersit eireta cii sciet rgaisatis hae tiie, a a

iteratia, atia a ca geret, -geret a riate sectr rgaisatis hae

rght eireta ririties it their ageas.

he aw the 21st cetr rght reewe ga citets t sstaiae eeet aa re eectie re r iteratia cerati i thse erts. igicat ga iisati is

ccrrig ar the iteratia agree miei deeet Gas (mdGs), icig mdG7:

sre eireta sstaiaiit.7 he threat ciate chage ga a ctiig eireta

eterirati ca has as rght receete recgiti the ecgica asis r ert

recti. his has et greater rgec t the search r ractica was t aistrea eireta

sstaiaiit it a asects eeet.

desite the iese exasi i eireta aageet sstes, seris a te wrseig

eireta citis a resrce eeti threate t erie eeet gais. ecet

assessets shw that the ace, scae a sce rgress eireta sstaiaiit are

iaeqate, i art ecase a erig cases sstaiae ractices reai i ace.

8

igicatireets i eireta gerace are eee t esre that shrt-ter ecic gais i

eergig ecies t ce at the exese ie srt sstes. here is grwig eiece that

caacit eeet a ire gerace ca a a ita i achieig sstaiae eeet,

as cite i pp-p, 2008:

While many variables infuence sustainability nationally, ve o the most signicant concern capacity and

governance. (Yale and Columbia, 2005. Environmental Sustainability Index)9

Where nations are managing natural wealth well, 40% o good perormance is linked to human capital, while

60% can be attributed to the rule o law. (World Bank, 2005. Where is the Wealth o Nations)

6 Kanie (2007) has identied over 500 MEAs, of which about 300 are regional in scope, citing Ecolex project (UNDP, FAO, IUCN) and

International Environmental Agreements database. 61 address atmosphere, 155 are on biodiversity, 179 on chemicals, hazardous

substances and waste, 46 on land issues and 197 on water issues (Chasek, 2007).7 MDG7, Target 7a: Integrate the principles of sustainable development into country policies and programmes; reverse loss of

environmental resources.8 See, for example, Mi llennium Ecosystem Assessment, Intergovernmental Panel on Climate Change, Millennium Project reports, World

Resources Institute Reports and database http://earthtrends.wri.org/9 Of the 71 variables identied in the study as inuencing sustainability, the ve that correlate most highly with sustainability performance

relate to capacity and governance, i.e., civil and political liberties, environmental governance (using World Economic Forum Survey),

government eectiveness, political institutions and participation in MEAs).
http://www.undp.org/MDG/goal7.shtmlhttp://earthtrends.wri.org/http://earthtrends.wri.org/http://www.undp.org/MDG/goal7.shtml



introduction

1.3 U andate or C

UNDP works in the area o the environment because the poorest countries are precisely those that

have suered most as a result o environmental degradation. The cycle o poverty and environmental

degradation has been largely ignored by investors, unds and development banks. Where national and

regional capacities are weakest is where UNDP is needed most. This is especially true or access to energy

and water and in the area o climate change, which will aect national development into the oreseeable

uture. (UNDP Executive Board, 2008)

aacit eeet r eireta sstaiaiit eerge as a cetra thee i the arth its

gea 21 (1992) a the od-d10 isse the rst r gieies the tic i 1995. he

irtace d has ee reiterate at the Wr it staiae deeet (2002) a i

aris mdG a m ieetati strategies.

mre recet, caacit eeet has eerge as the crerste reewe erts t icrease

ai eectieess a esre ctr-rie, ca-ee eeet. he paris decarati iectieess (2005) erie the ee t ehace caacit, create artershis a stregthe ctr

eeet strategies, i art thrgh settig exicit caacit eeet gas, with rs i a

srtig re. his irecti was reirce i the ccra gea r cti (2008), which cas r the se

ctr sstes, icig sstes r scia a eireta assesset, as the ai ehices r

caacit eeet t achiee the mdGs, ms a ther atia eeet gas.

undp is citte t aig a ke re i srtig caacit eeet.11 he un deeet

Gr ieties eireta sstaiaiit a caacit eeet as tw its e ricies r

eeet eectieess (ag with ha rights, geer eqait a rests-ase aageet).

(undG, 2009) aacit eeet a eireta sstaiaiit are th cetra t undps aate

a rgraig. he undp Strategic Plan 2008-13 states that caacit eeet is its cre serice t

rgrae ctries a sitis eiret a sstaiae eeet as e r ractice

areas.

rt r d ca a a crcia re i eetig these citets, with reiigrate araches a

ts that ca i csierae agec exeriece. undp has ee a ke ctritr t the eig

ther a ractice caacit eeet sice the ear 1990s a has rght this rietati it its

eireta rgraig, th i its cre rgraes a i its re as a ieetig agec r the

Ga iret faciit. ma the d es a ts eee undp, the od a ther

arters r the i-90s12 t w hae st the test tie a there is a weath ractica exeriece

t i . he atrig the d e i recet ears has rght a eri eaati a reecti,

with se eergig thees that are ike t shae undps tre arach t d:13

icrease cs i a eireta-reate rgraig stregtheig eges

caacit, i ie with the paris decarati a ccra ccr (bx 2);

10 OECD-DAC: Organisation for Cooperation and Development - Development Assistance Committee11 This is articulated in UNDG 2007, UNDG 2009 and UNDP 2008a, 2008b and 2008c).12 See Annex 3, References.13 See, for example, GEF Evaluation Oce, 2007a and 2007b; OECD Task Team, 2008a, 2008b and 2008c; Pillai, 2008; Sagar, 2000; UNDP, 2004;

UNDP, 2005a and 2005b; UNDP, 2006. UNDP/UNEP 2005; UNDP/UNEP PEI, 2008; UNFCCC, 2004; UNDP Evaluation Unit, 2008; UNDP

Executive Board, 2008.
http://www.un.org/esa/dsd/agenda21/res_agenda21_00.shtml?utm_source=OldRedirect&utm_medium=redirect&utm_content=dsd&utm_campaign=OldRedirecthttp://www.un.org/esa/dsd/index.shtml?utm_source=OldRedirect&utm_medium=redirect&utm_content=dsd&utm_campaign=OldRedirecthttp://www.oecd.org/document/18/0,2340,en_2649_3236398_35401554_1_1_1_1,00.htmlhttp://www.oecd.org/document/6/0,3343,en_2649_3236398_18638150_1_1_1_1,00.htmlhttp://www.oecd.org/document/6/0,3343,en_2649_3236398_18638150_1_1_1_1,00.htmlhttp://www.oecd.org/document/18/0,2340,en_2649_3236398_35401554_1_1_1_1,00.htmlhttp://www.un.org/esa/dsd/index.shtml?utm_source=OldRedirect&utm_medium=redirect&utm_content=dsd&utm_campaign=OldRedirecthttp://www.un.org/esa/dsd/agenda21/res_agenda21_00.shtml?utm_source=OldRedirect&utm_medium=redirect&utm_content=dsd&utm_campaign=OldRedirect


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introduction

icrease cs i a eireta-reate rgraig stregtheig eges

caacit (bx 2), i ie with the paris decarati a ccra gea r cti;

shit r rject-ase araches r iig eireta caacit t a rgraatic

e which etter sits the ra, g-ter arach eee r caacit eeet;

Greater iterest i crss-theatic araches t d, sch as ikig it t ert/ieihs,

secrit, geer eqait, heath, ciate chage a isaster recti strategies; a

search r was t streaie ga eireta gerace, i rer t rece era

a icati ag m-reate actiities, ecrease the aiistratie re

ceti arties, a reriet ga rgraes twars atia ririties a ca

aate stis.

Bx 2: C f CUy- f C

undp reiew 158 mdG ctr rerts rgress twars eireta sstaiaiit thrgh

mdG ieetati a rertig te that the extet tairig a itrig mdG7 iers

sigicat regi a is te ike t arig atia ririties a ees. ts igs it t

the irtace ctr-we d strategies:

ctries with a cear, eiece-ase a wie share isi hw the wat t aage their

eireta resrces ake the st rgress twars the ga eireta sstaiaiit.

his reqires that ctries t echaica at the ga targets a iicatrs, t rather

ik the t atia eeet icies a ririties, ca ctext, a ecsste secicities.

tries est whe the adoptthe ricie eireta sstaiaiit that is the heart

mdG 7 a the adaptthat ricie t the secic ecsste citis a ic ririties their ctries. (undp, 2006)

ther eergig thee is reewe cs etaiig geer eqait strategies with d erts.

We a a cetra re i eireta a atra resrce aageet, r exae, i cectig

water a rew a aagig waste, a i takig eaershi i sa-scae agrictre a rest

aageet. undps Geer qait trateg (. 31-33, . 61) cits the agec t caacit

eeet t esre that geer eqait iesis eiret a eerg csieratis are

reecte i atia icies, strategies a rgraes.14 fr d, this eas sig undps we-

estaishe geer aasis ts at each stage the caacit eeet rcess i rer t rteeqa rtities r we a e i access t a ctr eireta resrces a

ieet i ecisi-akig.

14 See additional guidance in UNDP, 2009; IUCN, UNDP and CGCA, 2009; and UNDP 2009



introduction

x 2. f W: W

CCy y W

We hae a itricate reatishi with atra resrces, e t traitia res that te reqire

the t gather , cect water a eet hseh eerg ees. Hweer, eerg a water-reate

istittia a techgica iteretis reqet ai t csier we as riar eeciaries.unp, wrkig with the teratia etre r tegrate mtai deeet (mod), ieere

ew araches t this isse thrgh the rject Capacity Building o Women or Energy and Water

Management in the Rural Areas o the Himalayas, ccte i bhta, ia a nea r 2002-4.

ts gas were t ee wes iiia a cit aiities t: (1) rgaize thesees; (2)

ieti a riritize water a eerg ees; (3) at eireta-rie techgies that as

rece the tie a ert ie i water a eerg aageet; a (4) se the tie sae r

ice geerati.

eera est ractices r eerg a water rjects iig we eerge r the exeriece.

hese iitiaties sh ai t rece tie a ert i har hsica ar; iiize hazars a

risks t heath (e.g., ew ske); icrease rctiit; ehace eqit i the sharig wrka eets; a wie tis r rctie wrk thrgh reeig tie a eerg, whie

as irig ecsste heath. pre iteretis ice reacig aa with echaica

techgies (e.g., water, stea); reacig w e with igas, sar-wer a icr-hrwer

eerg r ckig, heatig a trasrtati; a reiig iiges reewae eerg a water

harestig techgies.

Source: UNEP, 2002. Capacity Building for Sustainable Development: an overview of UNEP environmental capacity development

initiatives http://www.sti.ch/leadmin/user_upload/Pdfs/swap/swap399.pdf

farers irritigatig a ie i bagaesh. rce: undp pictre his / m. khas ui
http://www.sti.ch/fileadmin/user_upload/Pdfs/swap/swap399.pdfhttp://www.sti.ch/fileadmin/user_upload/Pdfs/swap/swap399.pdf


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introduction

1.4 Characteristics o C

mst the chaeges undp aces i srtig d are siiar t thse i caacit eeet

rgraig i geera; hweer, seera secic chaeges arise e t the atre eireta

isses a ca e aresse caacit eeet as ws:

Diversity of global, national and local ecosystems; current ecological conditions; and human-

ecosystem interactions: staiaiit strategies ee t e taire t secic gegrahica

settigs, which ar iese th ag a withi ctries. What wrks i e settig

a t wrk esewhere sice ctries as hae ierse eireta ririties, eeig

ecsste sesitiities, atra resrce aaiaiit, a se a setteet atters, a

eiret-ert ikages. aacit assesset ca e se t eterie secic caacit

eeet ees a arriate resses that ca ctrite t irig eireta

sstaiaiit i a articar ctext.

Political nature of environmental decisions: ireta ecisis ieita raise isses eqit a ha rights, ecase state athrities hae the wer t assig the rights t

se state-we a c rert resrces. he state as ieces the istriti

ecgica gs a serices a is ressie r the rcti ic gs, sch

as cea water, cea air a rtecte areas. d ca cs icreasig geret

acctaiit, ressieess a eaershi, i rer t achiee a re eqitae istriti

eireta iacts, csts a eets. t ca as he t aress cas r icrease riate

sectr acctaiit, gie its re i atra resrce extracti a rcessig, ti ctr,

eerg a ciate chage isses a eier eireta gs a serices.

Multi-sectoral and cross-cutting nature of environmental sustainability issues: gea 21

recgize that eireta caacit is eee at a ees geret; acrss a

eeet sectrs a withi a segets sciet, icig geret, cii sciet

a the riate sectr. Hweer, this ra arach has ee artia ieete at

the ctr ee. ma ast d erts hae cse the traitia eiret sectr,

esecia stregtheig istittia arrageets, te at the atia geret ee.

he 2000s rght icrease recgiti that aistreaig wi reqire aistreaig

eireta caacit eeet as we.

Interdisciplinary nature of environmental sustainability solutions: ireta stis

reqire irati a exertise r ierse isciies/es, r exae, gegrah,

ecg, ecics, hrg, egieerig, aig, restr, sheries, heath, athrg,

scig a geer sties. lca a traitia ecgica kwege as has a re t

a. d ca he t ire eireta ecisi-akig stregtheig the techica

caacities eee t aress sstaiaiit isses a the ctia (r rcess) caacities

eee r iterisciiar aasis, itegrate aig, creatie re-sig a ti-

stakeher carati.



introduction

Exclusion of ecological goods and services from macro and microeconomics: ice ecgica

serices hae ee csiere as ree gits atre the hae traitia ee exce

r ecic ecisi-akig th at the acr ee (e.g., Gnp, cst-eet aasis, csts

ciate chage) a the icr ee (e.g., water ricig, cst ti). aiti, ecic

a itica aig cces are reatie shrt-ter i atre, whie eireta rcesses

are geera g ter. d ca he t i caacit t se ew ic a aig es

that recgize the ecic aati ecgica serices, se ecic istrets t

achiee eireta es a rig a ger-ter ersectie t aig rcesses.

x 1. U U: CUy-B

(CB)

he sa cities that are ike t e the st seere aecte ciate chage are the

east eqie t res a aat t the iacts. he ga this undp srte Gf ace

rgrae is t estrate hw t rece eraiit t ciate chage thrgh eeig

cit-ee caacit r aatati. e ctries are ieetig 8-20 cit-ase

rjects aie at ehacig the resiiec their cities a ecsstes t ciate chage.

he rjects wi e se as sa-scae rject/ic aratries t geerate kwege i rer

t srt reicati sccess ractices a ee eectie icies r cit aatie

caacit.

fr exae, the b rject iJamaica, ecig iate hage-drie rsi a lasie isks

thrgh staiae grictre r aer es, is wrkig with arig cities i Jaaicas be

mtais, where high-ae c-ciate crs sch as cee are grw. iate chage is rjecte t

icrease the itesit hrricaes a ther strs, whie ecreasig aa raia, ast icreasig

the risk ersi a asies, a threateig ies, agrictra ieihs a Kigsts waters. he iitiatie wi reirce sstaiae agrictra ractices, rerest agers ses a i

cit cetece i ciate-resiiet atra resrce aageet ractices. thrities r

Jaaicas water, restr a agrictre sectrs are ie, i rer t aciitate the take esss

eare a est ractices it raer icies a rgraes.

htt://www.-aatati.rg/rject/ca
http://www.undp-adaptation.org/projects/websites/index.php?option=com_content&task=view&id=203http://www.undp-adaptation.org/projects/websites/index.php?option=com_content&task=view&id=203


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2 U C C

srt the undp trategic pa tce stregthee atia caacities t aistrea

eiret a eerg ccers it atia eeet as a ieetati, undp ietie

the ee r a csistet agec arach t srtig d, iig irect practice ntes

Capacity Development (2008a) and Capacity Assessment (2008b). his secti resets a aatica

raewrk a arach t d csistig te giig ricies; three ees caacit, each with

tie etr its; seetee eireta caacities a r cre isses. ecti 3 ties a e-ste

rcess r d a ex ries three ractica rgraig ts t carr it t. he arach a

ts sh e ree aate t sit the ctext, icig tie, resrces a rtities at ha.

2.1 uiding rinciples

undps era arach t srtig caacit eeet is ase te giig ricies (undp,

2008a). he agecs arach t d ceets these with Giig pricies r d, as erie

r ga exeriece (bx 3).

fishere ig a catch i a ie aske ishig et the shres the brahatra ier.

ia -tiet, ia, ssa, ezr. rce: Gett ages.

15 The section on UNDP Approach to Supporting Capacity Development (UNDP, 2008a, p. 7) and the Capacity Assessment Framework

(UNDP, 2008b, p. 9) are of particular relevance for CDES.



undP aPProach

Bx 3. U C: CCy f

UBy

aacit eeet r eireta sstaiaiit sh:

1. Ultimately lead to substantive and measurable improvements in environmental conditions and the

quality of life, sch as ire heath; rece ti, aage a csts; re sstaiae

atra resrce se; a aiteace a restrati iiersit a ecgica rcesses.

2. Be nationally owned and driven, sig a stregtheig atia a ca sstes, as a

exertise, a itegrate it raer sstaiaiit iitiaties (e.g., iiize e- rjects).

3. Respond directly to the country context, a th atia a ca ririties, icig ririt

eireta a atra resrce isses, ert-eiret ikages a the ees

tiate eeciaries.

4. Be asset-based, eashig a reircig existig a eergig eireta caacities withi

the ctr, the regi a ther ther ctries. t sh as ee caacit r caacit

eeet exaig ctr cetece t esig a eier caacit assesset a

caacit eeet.

5. Take a cross-sectoral and interdisciplinary approach, iig eireta, atra resrces

a ecic a scia eeet sectrs, csistet with mdG arget 7a er mdG7.

6. Promote the involvement of diverse segments of society and ownership of results by key

stakeholders, icig tie ees a agecies geret; the riate sectr; a cii

sciet, icig ca cities, we a e/girs a s; r, argiaize a/r

rete cities; a iiges ees (as arriate t the isse).16

7. Take a comprehensive and systemic approach, csig ke ikages etwee the eaig

eiret, rgaisatia a iiia ees, a esrig that iiia caacit

eeet (e.g., awareess-raisig, ecati a traiig) is reirce at ther ees.

8. Be results-based, eaig t easrae, sstaiae caacit tces, thrgh the se

ssteatic, et exie araches that ecrage iati, aatie aageet a

earig--ig.

9. Be seen as a gradual, g-ter rcess restig r achieig shrt-ter icreeta

iestes, te i a -iear ashi. his reqires rceeig at a scae a ace that aw

the ctr sste t asr a iteraize chages, as we as staig with the rcess i the

ace chaeges.

10. Strengthen environmental governance, icig irig itica a istittia

arrageets, a aressig wer iaaces a ieqities i access t atra resrcesa eireta ecisi-akig. his ices rtig attitia a ehaira chages,

ha rights, eqit, geer eqait, acctaiit a eaershi.

16 Adaptive collaborative management (or adaptive co-management) has emerged from the eld of participatory research and devel-

opment as a collaborative model for natural resource management that increases stakeholder involvement and ownership. Using this

approach for CDES, stakeholders would cooperatively design, plan, observe and learn from implementing a programme or project, using

exible, participatory, responsive management processes and synthesizing diverse knowledge systems. (See Gonsalves et al, 2005.)


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undP aPProach

2.2 evels o Capacit and ntr oints

fr a ctr t achiee its eireta sstaiaiit gas, it ees cetet a motivated individuals

wrkig withi eective organisations, eratig i a supportive enabling environment. hs, undp recgizes

three itercecte ees caacit, each which has seera etr its r caacit eeet, as

shw i bx 4. secic d itereti a cs e r tw ees a e r re etr its i

rer t achiee secic caacit tces. he ai sh e t seera etr its that tgether w

eerage tie eets. ex , #3 ries checkists ssie caacit eeet resses,

rgaize accrig t the three ees caacit a reate etr its.

Bx 4. f CCy y f C

y

B:17

the political, economicpolic, social, legal andregulator sstems within

which organisations andindividuals operate

cieta raewrk: ctra rs, scia aes, traitis a

csts

stittia raewrk r eireta sstaiaiit ()

ireta gerace: re aw, acctaiit,

trasarec a ressieess

pitica raewrk

pic, ega a regatr raewrks

natia/s-atia istittia, aageet a

acctaiit raewrks

natia a sectra aig raewrks

ter-agec criati a carati raewrks

takeher egageet a carati (ti-agec,

ti-sectra)

fiacia ws/getig

Kwege a irati sstes

Ha rights a eqit reate t , icig geer eqait

a access t atra resrces a ecisi-akig

17 The enabling environment is sometimes referred to as the systemic level, (UNDP/GEF, 2005 and UNDG, 2010), while OECD sometimes uses

systemic to refer to interactions between the levels (OECD, 2006).



undP aPProach

:including government

institutions and civil

societ, communit andprivate sector

organisations18

orgaisatia aates, strctres a ctis

tera aageet, aig a eratia raewrks

iistratie a getar sstes

perse aageet a ha resrces eeet

takeher egageet echaiss (rgaisatia ee)

rati a kwege aageet sstes

rastrctre, aciities a eqiet

Kwege a irati sstes

rastrctre, aciities a eqiet

orgaisatia ctre t srt

orgaisatia ctre raitia rgaisatis, th ra a

ira: e.g., ca, cit a iiges sstes r a-

agig eiret a atra resrces

U:women and men in theirroles working within gov

ernment and civil societorganisations, and acting

as citizens and members oamilies and communities

wareess a attites: e.g., eies, aes, tiati a c-

itet

Kwege: reate t eiret a atra resrces a-

ageet; aistreaig a sstaiae eeet (ite-

grati eiret, ecic, scia isses); a irati

sstes/rati a icati echgies ( )19

kis a ehairs: e.g., seciaize scietic a techica skis;

iterisciiar skis, a cicati a carati skis

18 Note: Throughout the document organisations should be taken to refer to government agencies, such as ministries, departments, local

authorities and state enterprises; civil society organisations, such as NGOs and CBOs; traditional and indigenous community organisations;

academic and research organisations; and private sector organisations, e.g., business associations, rms and social enterprises.19 Information and Communications Technologies (ICT) refers to all technologies for manipulating and communicating information,

including computer hardware and software, and devices for storing and communicating voice, sound or images (e.g., telephone, camera,

audio-visual).


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undP aPProach

x 3: U y

C jC

Namibias extesie sste 20 state-aage rtecte areas (ps) cerig 13.8% the ctris the crerste its cserati rgraes. eera arriers hier rgress i weaig these

it a chesie etwrk that c e a er agaist iiersit threats. he undp srte Gf

ace rject tregtheig the prtecte rea netwrk prject (pn) ais t estaish sstaiae

acig echaiss r the p sste. ctiities ice:

Enabling environment level:

crehesie ecic aasis that hee the miistr iret a ris

(m) secre a 310% icrease i aa get rig the ast r ears r ark aageet

a eeet, icig the sccess iisati a arge at aitia r

ig r ps; i articar, a u$ 67 ii ert aeiati grat r the u Gerets

miei haege cct (m).

rt r the 2007 aiet ara the natia pic ris a Wiie cessis

tate la, which ais t eash the ecic tetia ps.

lg-ter a graa ig the Gae prcts rst f bar r cia eararkig

25% ark etrace ees t rie aitia sstaiae acig r ark aageet.

deeet ark siess as r six atia arks, eaig the ark aagers t ee

csts a ieti a execte was t eet thse csts.

rt t the m t se eets arkig 100 ears naiias est ark t rte the re

arks i atia eeet a shw itica srt, e.g., the presiet cae r erts t

ik these arks it e i sste acrss the ctr.

Organisational and individual levels:

fr e estrati rjects, aie at irig igegrahic cerage, icreasig

cit c-aageet arks, a estaishig crcia wiie crrirs.

cetie echaiss, icig a raiig pa r p aageet a seciaize traiig

aw erceet, ehice aiteace a ark siess aig.

iati grat schee t iitiaties rse ark aagers, ag with a e sta

awar.

deet a p ris a cessi eciaist t srt the m i estaishig a

cessi uit t stregthe the caacit t ee a itr ccessis that ie

th eireta a ecic eets. he ajrit ccessi rights are grate t

cities eighrig the ps, irect eetig ca ee.

t the Hv/d iret Wrkig Gr (HWG), with articiats r cserati

a heath agecies, the iks etwee Hv/d a the eiret, sig arks as the etr

it, a ache a iatie cserati-rae c (sera).

Source: UNDP/GEF, 2008. Biodiversity: Delivering Results



undP aPProach

2.3 nvironmental Capacities

he ricies a ractices assciate with the e eireta sstaiaiit hae ece

icreasig shisticate, reqirig a ra rage caacities t ieet. bx 5 ists seetee ke

eireta caacities, iie it tw categries (as rse i undp, 2008). Functional Capacities

are thse that are eee t ertake the cre ctis ie i esigig, ieetig a

eaatig eireta sstaiaiit iitiaties. hese ca e csiere rcess caacities. Technical

Capacities are thse eee t carr t ctis a actiities reate t secic asects eireta

a atra resrce aageet a eireta aistreaig.

he ist i bx 5 is exae i ex , #2, which shws s-tics (r s-caacities) r each

the seetee ke caacities. he exae ist is itee t highight the sectr the caacities that

a sciet ees t achiee its eireta sstaiaiit gas. #2 ca e se at aris stes i

caacit eeet, as sggeste i the itrcti t the t. fr exae, it ca e se as a checkist

t ieti caacit assets a ees a/r t chse ririties r caacit eeet. articar

iitiatie wi ike cs e re the caacities a s-caacities, eeig its rse asce.

20 This list was derived from numerous capacity typologies (See references in Annex B). It should be considered a working draft that is open

to discussion and adaptation as the Guidance Note is tested in the eld and as the eld of CDES evolves.

gr g we i ia ear hw se a sar ish r ckig. rce: undp pictre his / dii lkre


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undP aPProach

Bx 5. CC

A. Functional Capacities, including the capacities to

1. ssess a sitati, ee gas, a aase a chse tis

2. frate icies, egisati, as a strategies

3. bget, aage a ieet, icig iisig resrces

4. mitr, eaate, rert a ear

5. gage stakehers a ertake ti-sectra carati

6. Geerate, aage, se a cicate irati a kwege

7. desig a/r rer eireta istittia arrageets

B. Technical Capacities, including the capacities to

8. prtect, aage a sstaia se ecgica gs a serices

9. desig a aage ti reeti, aateet, a ctr rgraes

10. prtect, aage a sstaia se atra resrces

11. ssess, rece a aage eiret-reate risks, icig ciate chage, sig the

recatiar arach

12. use ega a regatr ts r eireta sstaiaiit

13. use awareess a ecati ts r eireta sstaiaiit

14. use ecic istrets as ts r eireta sstaiaiit

15. use tar istrets as ts r eireta sstaiaiit

16. maistrea eireta sstaiaiit acrss eeet sectrs

17. eet mtiatera ireta greeets (ms) a iteratia cerati

rgraes



undP aPProach

2.4 Core ssues

base exeriece t ate, undp has ee r re sses that see t hae the greatest iece

caacit eeet (undp, 2008a). hese are itrce ew, as the a i the e

eireta sstaiaiit, a iscsse i re etai i ecti 5. hese cre isses te ct acrss the

three ees caacit a ca e aresse

at tie etr its, eeig the

sitati at ha.

Institutional Arrangements: ctrs

caacit t reaize its sstaiaiit gas

ees i arge art the istittia

arrageets that rie the raewrk r

eireta ecisi-akig. hese ice

the wig cets, a which ight

rie the cs r d.

At the enabling environment level:-

es gerig ecic a

scia actiities;

pitica sstes;

lega, regatr a ic raewrks;

mechaiss r iter-agec cerati a stakeher/ic cstati; a

cia a ctra csts, rs a reatishis ( ice i se reereces).

At the organisational level:-

orgaisatia strctres, aates, ctis a rertig reatishis;

tera ic, aig a ecisi-akig rcesses;

maageet, aiistratie, getar a ha resrce eeet (Hd) sstes;

rati a cicati sstes; a

rastrctre a eqiet (e.g., ces, eqiet, as).

Accountability: d, this ca reer t (a) rgaisatia acctaiit, i.e., the aates a

rertig reatishis withi r ag rgaisatis with eireta ressiiities, a () ic

acctaiit, i.e., the tw-wa reatishi etwee ic athrities, wh are ressie r rtectig

ecgica serices, eierig eireta serices a actig i the ic iterest, a the stakehers

wh are aecte their actis. (ee ase t #4.)

Capacity is not only about skills and proce-

dures; it is also about incentives and gover-

nance (OECD, 2006). While environmental

decisions are made within institutional

frameworks, they result from both written

and unwritten rules, norms and spheres of

power and influence. Recent capacity devel-

opment approaches try to identify and ex-plicitly address these factors.


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undP aPProach

Environmental Leadership: d, this reers t the aiit geret r -geret actrs

t iece chage, tiate acti a iise stakehers t aress sstaiaiit isses at a

cit, regia, atia r ga ee. leaershi ca ce r a seget sciet a a

ice iticias, cii serats, nGos, cit eaers, siess ee, acaeics a iiia

citizes. t ca e rie ra, r exae, thrgh itica acti r ic rer, a ira,

thrgh acac a cit iisati. d erts a ice easres t ieti a srt

atra eaers a chais, wh a e th iiias a rgaisatis. (ee ase t #3.)

Knowledge and Information: d erts a cs stregtheig the caacities eee t esre

that iitiaties hae a s scietic a techica asis, are aate t ca ecgica a scia

citis, a icrrate ca a traitia ecgica kwege (lK a K). he a as ai t

ire the se eireta irati i ecisi-akig r ee eireta awareess,

kwege a skis eee ke ecisi-akers a stakehers t aress secic tics. (ee

ase t #2.)

Bx 6. CCy f-

s a ieetig agec r the Gf, undp has srte ers natia aacit e-

assessets (ns), i which ctries aaze their caacit t ctrite t ga eireta

aageet, with a cs the i etis. ns assess caacit ees a rse actis

t aress the (tes 1 t 3 the e-ste d rcess; see ext secti r re etais the

rcess), t ig t ee caacit st the e secre thrgh aitia srces (tes 4 t 5).

fcse caacit assessets this te are se r ic iage a stakeher iisati.

he as rie a asis r esigig tre caacit eeet iteretis. fr exae, the Gf

as srts caacit iig rjects (b-2 ig) that cs eeig ririt caacitiesietie rig the n.



3 f- C f C

his secti ries sggestis r aig undps recee e-ste caacit eeet

rcess i the e eireta sstaiaiit:21

1. gage stakehers i caacit eeet;

2. ssess caacit assets a ees;

3. frate the caacit eeet resse;

4. eet the caacit eeet resse; a

5. aate caacit eeet rests.

ex ries three prgraig a paig s that are ase the e stes a the aatica

raewrk resete i ecti 2.

t a e se t thik the e stes as e eeets d, sice the are t a ecessari carrie

t as art a sige iitiatie. his is istrate the case natia aacit e ssessets (ns),

tie i bx 6, which cs stes 1-3. aiti, athgh stakeher egageet is ietie as

ste 1, it sh ctie rig a the stes.

here are three ai es r undp srt t d:

1. Self-standing CDES intervention, targetig secic eireta sstaiaiit caacities, e.g.,

ns a aacit-biig rjects (b-2). (ee ase t #1.)

2. Integrated into a broader environmental or natural resource initiative: e.g., a eiret

a eerg rgraes/rjects ice caacit eeet cets. (ee ase ties

#2 a #4.)

3. Integrated into a capacity development initiative in another practice area or thematic

programme, e.g., ert recti, gerace, isaster resse. (ee ase t #3.)

xeriece has shw that ski itegrati caacit eeet tces it raer

eireta sstaiaiit rgraig icreases the ikeih that eges caacities are

iise a ew caacities are sstaie. his arach as takes aatage rtities r ae-

ae sice caacit eeet ca he t sstai ther rgrae/rject rests. Whicheer ti

is chse, eer ert sh e ae t i caacit r caacit eeet thrght the e

stes, i rer t stregthe atia sstes a rcesses r d. his iies a caratie, earig

ig arach i which arters a eeciaries ee secic techica caacities, whie as

stregtheig the rgaisatia raewrks a rcesses eee t assess a ee ew caacities

er tie.

21 The UNDP approach is detailed in UNDP 2008a and 2008b and summarized in UNDP 2008a, Figure 2, p. 9.


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fie-steP Process

tep 1: ngage stakeholders in capacit development

te 1 ies ietiig a the stakehers wh sh e ie rig the caacit eeet

rcess, as we as whe a hw the sh e ie. bx 7 ists stakehers that c articiate i

e r re stes d, thrgh assessig caacit assets, ees a ririties; esigig arriate

resses; ieetig a itrig actiities; a/r eaatig rests.

he irtace irect ieet eeciaries a stakehers t the sccess eeet

rgraes is we estaishe (undG, 2010). takeher ieet is esecia irtat r d

e t the ti-sectra, ti-isciiar, caratie atre eireta ecisi-akig. ar

a ctie ieet wi he t esre that that the rcess is eqitae a acctae, a that

ririt ees are aresse. he se se-assesset, articiatr eths a aatie caratie

araches ca ster greater wershi eeciaries a icreases the ikeih that caacities

eee wi e sstaie.

here ca e three istict t eraig tes stakeher egageet i d, each which has aieret cs a raws a ieret set techiqes:

1. Awareness-raising: ais t ir a ecate stakehers at a d iitiatie.

Sample techniques: rite aterias, wesite, resetati, eia a cit eets.

2. Consultation: ais t cect stakeher cets a iis caacit assets a ees

a stis at each stage the rcess. Sample techniques: wrksh, iteriew, cs

gr, sres, site isit, cit aig, trasect, str-teig.

3. Involvement: ais t hae stakehers carate a/r share ressiiit r a r art

the d iitiatie. Sample techniques: se-assesset, articiatr research, wrkig grs,

aisr grs, iage cittees, artershis, etwrks.

secic iitiatie wi se e r re these araches, eeig the tic at ha, stakeher

iterests a ees, a aaiae resrces. best ractices sggest sig a rage egageet

techiqes that wi reach ierse target grs. ecia atteti is eee t esre that the rcess is

esige t ice we a e/girs a s, as we as isaatage a argiaize grs,

sch as thse i r, rete a iiges cities. fr exae, ra settigs sch as wrkshs

a eetigs ca iscrage articiati these grs. stea, ira, articiatr, cit-

ase eths that egage ee where the ie wrk ca e esecia eectie r d.

Gettig the srt seir ecisi-akers as ke stakehers ear i the rcess a at ke its

thrght has as ee shw t ctrite t the sccess d. his is e i art t the itica

atre eireta ecisi-akig, a the te weak sitiig eireta agecies aisses geret ageas. High-ee srt as hes t esre that resrces are ae aaiae

t sstai caacit rests er tie (ee ase t #3). t is as he t ieti a ewer atra

eaers a chais, th rgaisatis a iiias, wh wi rte -gig citet

articiats t rgrae tces.22

22 See additional suggestions for engaging stakeholders and decision-makers in UNDP, 2005. NCSA Resource Kit.
http://www.unpei.org/PDF/institutioncapacity/National-Capacity-Self-Assessment-Resource-Kit.pdfhttp://www.unpei.org/PDF/institutioncapacity/National-Capacity-Self-Assessment-Resource-Kit.pdf



fie-steP Process

Bx 7: K f C

articar d iitiatie a ie a the wig stakehers, eeig which es hae

a re a/r iterest i the caacit isses eig aresse.

Government agencies: national, sub-national and local level

iret a atra resrce agecies, e.g., eireta rtecti, water, agrictre,

rests, sheries, eerg a iig

paig, eeet a ace agecies

ectra agecies, e.g., istr, ic wrks, heath, ecati

tate eterrises

Civil society: local, national and/or international level

ireta nGos (nGos): e.g., grs cse ti, iiersit, aw, rtecte areasa/r r eireta ecati

nGos a it base orgaisatis (bos), e.g., cit eeet, ecati

a heath grs; iage r istrict rgaisatis; arers, wes, ar, th a seirs

rgaisatis; serice cs; ressia a trae assciatis, ar is

it eaers a ii-akers, e.g., ca iticias, ecatrs, actiists, writers, reigis

eaers, eia ersaities a siess eaers (as, icreasig, etertaiers)

meia: rit a eectric eia (v, rai, teret), icig cia/state, ar a

acaeic jras, agazies, racasts a wesites

uiersities, ceges, techics, ic a research istittes; a iiia acaeics,

scietists a researchers

iia citizes

Private sector: local, national and/or international level

large/sa siesses, cstats, iestrs, siess assciatis

International development and cooperation actors:

biatera a tiatera r rgaisatis

un agecies

Ga/regia criatig ies


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fie-steP Process

x 4. Uy: BfC K

jC

undp Gaa srte a e-ear rject cse eeig caacit r atra resrcesa eireta aageet, with a cs iiersit aageet a ti ctr.

beeciaries a stakehers ice iiges eriia cities, state agecies a the

riate sectr. he wig kes t rject sccess were ietie:

1. he rject cet rie a ra raewrk, with great exiiit t res t eergig

ririties.

2. esre that iite resrces were cse ke isses, stakeher cs grs ietie their

isi r Gaa a hw the rject c ctrite.

3. teerig ittee are rjects a cetitie asis. he ieetig agec isse

cas r rsas r eeciar grs r rjects the atter et w i caacit i their

agec a/r cit. oce these were eaate, ase writte a era resetati,the ea rgaisati r each are rject ecae ressie r ieetati, icig

ietiig the eee its, e.g., techica erse, wrkshs a aterias.

4. rject actiities se a eeciar-e e, e.g., the cstat wrkig with the eiret

agec t reare a strategic a was reqire t trai a etr sta as art the rcess;

each rgaisati resete its rject rests a ext stes t the teerig ittee; a a

articiatr e r itrig a eaati was se.

5. eqate tie was a critica actr i esrig eeciar articiati.

6. he ieetig agec was t a irect eeciar a s was ae t aciitate iage a

ecrage criati ag aris actrs.

Source: Patsy Ross, Energy and Environment Division, UNDP Guyana

tep 2: ssess capacit assets and needs

his ste ais t ieti the cs r caacit eeet erts. he undp practice nte aacit

ssesset (2008) ries etaie giace r this ste. s aie t d, caacit assesset

ices the wig eeets:

eticati ririt isses t e aresse thrgh caacit eeet;

eticati ririt caacities a s-caacities t e assesse; (ee ex : #2);

eticati crss-cttig tics er undps r cre isses that a reqire articar

atteti;

fr each ririt caacit, ieticati (a) caacit assets, i.e., stregths t i , a ()

caacit ees, i.e., gas, weakesses a chaeges, at the three ees caacit a acrss

the cre isses;

fr each ririt caacit, aasis esire a crret ees caacit;
http://www.undp.org/capacity/resources.shtmlhttp://www.undp.org/capacity/resources.shtmlhttp://www.undp.org/capacity/resources.shtmlhttp://www.undp.org/capacity/resources.shtml



fie-steP Process

ar igs, icig recee etr its, sectrs, segets sciet a

rgaisatis t e aresse i the caacit eeet resse.

he caacit assesset ca e crehesie a ra, sig staar aatica techiqes, sch

as esk sties, iteriews, sres, wrkshs, e isits, articiatr techiqes, r it ca e rai

a cse, ase riari reis wrk. undp a its arters ca raw a arge recet

irati crret a esire ees eireta caacit, icig:

Giace a rerts eee with Gf srt, e.g., the n esrce Kit (Ga rt

prgrae, 2005) ries a gie t eireta caacit assesset, whie the undp

wesite (htt://www..rg/aistreaig/csa.sht) hses cete n rerts a

actis as r er 120 ctries. ma ther Gf-srte rjects a eaig actiities23

ice caacit eeet irati, as rgraes reate t ther ms; 24

aacit assessets eee i ctr eireta sties a trategic ireta

ssessets; a

aacit irati

i rgrae a

rject cets a

eaatis r reis

eiret-reate

rjects i the ctr.

xeriece has shw the ae

riritizig ear a te

rig the d rcess. aacit

assesset ca ea t a gwish ist ees e t the

chric scarcit resrces t

aress eireta chaeges.

priritizati techiqes sh e

se t ieti ke iitig actrs

that w, i aresse, eerage

sigicat ireets i caacit

t aress the st ressig

isses, as ietie i atia a

ca strategies a as.25 ecti

5 iscsses seera re ssesthat are c exre rig

caacit assesset.

23 Enabling activities support implementation of, and reporting on MEAs, including capacity assessments, reports to convention bodies, and

action plans and strategies on convention topics, such as climate change and biodiversity.24 Although NCSAs and other MEA CDES activities focus on global environmental management, many of the resulting reports include broad

overviews of environmental capacity needs and proposed actions to address them. Many of them also resulted from country-led, participa-

tory processes (to varying degrees).25 Prioritization can be done using standard techniques such as SWOT analysis, gap analysis, multi-criteria analysis, interviews, surveys, work-

shops, focus groups and GTZs Goal Oriented Project Planning (ZOPP) technique.

w teers r i eret cities sharig a et jater atig tgether a agre seeig as art a cit-ase aatati rject. rce: Je a Jrgese/undp
http://www.undp.org/mainstreaming/docs/ncsa/ncsa-reports/NCSA%20Resource%20Kit-GSP-2005.pdfhttp://www.undp.org/mainstreaming/ncsa.shtmlhttp://www.undp.org/mainstreaming/ncsa.shtmlhttp://www.undp.org/mainstreaming/docs/ncsa/ncsa-reports/NCSA%20Resource%20Kit-GSP-2005.pdf


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fie-steP Process

x 5. f: CCy

he vieta-aaa iret prject (1996-2007, vp), srte the aaia teratiadeeet gec, is wie cite as a e r est ractices i d. ts ga was t ee

the caacit the natia ireta gec r istria ti aageet (pm) i r

areas: ti reeti a ctr, eireta itrig, reiew a awareess-raisig.

tregths were ietie as:

1. Focus on priority issues:he rject cse rw isses a ricia caacit (s.

atia), i keeig with Geret vieta (Gv) ririties r istriaizati a

ecetraizati.

2. Focus on appropriate provinces:he rject cse three ririt ecic eeet

zes ietie the Gv, a esss eare were catre a traserre t ther siiar

rices.3. Comprehensive, participatory approach:he vp e was ase traser sciece-ase

techica araches (techica caacities), a trasaret, rests-riete aageet

sstes (ctia caacities), ase a ssteatic caacit assesset. t se earig-

-ig, caratie wrk aig a trasaret getig t rte strg arter

wershi rests.

4. Multi-stakeholder collaboration: partershis ag ricia athrities a etwee

rices a ther eartets, istr a cii sciet rgaisatis were essetia t

ire pm.

5. Project duration:he 10-ear rati awe r the reatishi-iig, atiece,

exerietati a iati that e t ca arriate stis a re sstaiaerests.

6. Strategic use of technical assistance: xtera its hee t i techica a aageria

caacit, which ehace the ega a regatr raewrk a ecrage ther rs t

srt pm.

7. Flexibility: iteratie rject esig awe the rject t reaig er tie, i resse t

chagig actrs, sch as ew natia trateg ireta prtecti a geret

restrctrig.

thir hase er 2008-12, the vieta pricia ireta Gerace prject is esige

t ee caacit thrgh itegrate actiities t stregthe pm at the rgaisatia a eaig

eiret ees.Source: Freeman, J., 2006. Vietnam-Canada Environment Project, Phase II, End of Project Review: Final Report



fie-steP Process

tep 3: formulate the capacit development response

his ste ies sig the rests the caacit assesset t esig a caacit eeet resse,

which c e a rgrae, rject r seera actiities itegrate it ther rgraig. t is te

re eectie a eciet t cie tes 2 a 3 the d rcess, ietiig caacit assets a

ees at the sae tie as ssie caacit eeet resses.

ke task rig te 3 is t eterie criteria r chsig the caacit eeet resse, sch

as ririt ees, assets that ca e iise, easiiit, cst, resrces, tie rae, itica srt,

stakeher iews, eergig rtities a ssie sergies with ther iitiaties. his irati

a e aaiae i the caacit assesset rert r a reqire aitia research. hese criteria wi he

i tairig the st arriate a tie resse r a gie ctr settig.

eectie caacit eeet iitiatie es t ee t e arge-scae, exesie r tie-

csig; rather, it sh e strategica cse tteecks that are ieig rgress secic

eireta sstaiaiit chaeges. ex , s #1, #2 a #3 rie iicatie ists ssiecaacit eeet tces, tts a actiities, rgaize accrig t the three ees caacit

a etr its withi each. he st eectie rgraig wi sa ice iteretis at tie

etr ees that are esige t e ta reircig.

eera esss eare hae eerge r eaatis d erts t ate.26 iece sggests that

caacit eeet has reqet ee treate as a a- t techica assistace/srt, with itte

atteti t hw it ca e se t ehace a sstai era rject rests. s, it is te eiere sig

a techica assistace e rather tha a ctr-

e caacit eeet e. ctiities

are te s-rie; r esige a

itre; ase extera isses a targets;

a ieete with isciet atteti t

sstaiaiit.

aiti, there has as ee a er-reiace

traiig, esecia e- wrkshs a

st trs, with itte atteti t hw traiig

wi stregthe rgaisatia caacit, icig

itera traiig sstes. ote, traiig rests are

t sstaie e t weak ees assesset; er-se tsie exerts; r aatati irte

aterias t ca settigs; ack reirceet r ew kwege a skis; a iit articiats.

e rjects that tr t cs rgaisatia caacit hae te ee t e er aitis, with

a see a sce that excees the arters aiit t ee a sstai exae caacities.

best ractices iicate that g-ter earig--ig araches that ar the eeet

artershis a etwrks a that itegrate caacit iig it wier sstaiae eeet erts

hae re chaces sccess (unf, 2004). he as sggest that sccess is re ike whe resses

are ctr-e, strategica cse ke isses, rigrs esige a reaistica scae.

Capacity for what?Capacity development can

only be defined in relation to a specific goal it does not exist for its own sake. Proect

documents should therefore clearly

establish what the goals are and how the

capacity development activities relate to

them. (GEF Evaluation Office, 2006)

26 e.g., Poverty-Environment Partnership PPT 20-06-2007; Le Groupe-conseil baastel, 2000; Nordic Consulting Group, 2008. UNEP, 2005. GEF

Evaluation Unit, 2008a and 2008b.


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fie-steP Process

undp reces that caacit eeet cs iig rgaisatia caacities a creatig

a srtie eaig eiret t he sstai caacit gais. this arach, iiia caacit

eeet eces a iirect t ceetar rest. traiig is icrrate it the caacit

resse, it sh e istittiaise thrgh stregtheig ha resrce eeet a traiig

sstes a/r icrrate it cit eeet rcesses. aiti, e- traiig sh

e reace with raiig raier (), eer earig, etwrkig a kwege-sharig es r

earig. ex , #3 ries sggestis r esrig that ecati a traiig etter sere

raer caacit eeet gas.

x 6. B-U Cy , U CC

y f CCy

est ractice that eerge r undps aacit 21 rgrae was the cascae sste caacit

eeet, which ie iscragig e- traiig i ar itegrate araches that

w hae a tiier eect, r exae, traiig traiers, targete ecati a awareess

resrces a eer earig a ca-ca iages. gether, these eths te sitie

iece atia a regia icies a strategies.

fr exae, i Burkina Faso, ca traiers were traie eserticati isses a the hee t

ee ctet a rcess caacities their cities, restig i ear 50,000 ee eig

ie i eig the ctr strateg t cat eserticati. aiti, a atiwie etwrk

steerig cittees was estaishe at the atia, regia, ricia, earteta a iage

ees t share irati itegrate atra resrce aageet. he etwrk ewere ca

cities a cecte the t exertise a istittis that c he the tacke eera

res, whie as aisig g-ter, histic sstaiaiit strategies.

UNDP/GEF, 2008. Biodiversity: Delivering Results

tep 4: mplement the capacit development response

his ste ies ieetig caacit eeet actiities i a aatie, iteratie ashi, awig

r i-crse crrectis, ase eeack r itrig sstes, a i keeig with the giig

ricies tie i ecti 2.

eiews ast d iitiaties hae te that rgraig te ies a w resrces r nrth

t th, whie ca, regia a ther caacit reais ertiize. fr re sstaiae rests,

a i keeig with the ccra gea r cti, ieetati strategies sh se atia ssteswheeer ssie. rtig ca rgaisatis a exertise as arters i d was the re

extera its, wer csts, hes esre that actiities sit the ca ctext, a is caacit t ee

caacit. mst ctries ca iise the wig assets estica a withi their regis:



fie-steP Process

1. Expertise needed to develop technical capacities for ES (See Annex B, Tool #2): rati,

exertise a aciities reate t tics are te aaiae withi geret extesi

serices; acaeic istittis; scietic, ic a research istittes; nGos a bos; the

siess cit a ca cstats. ities ca rie ceetar ca a

traitia ecgica kwege.

2. Expertise in organisational/institutional development: etece i ic aiistrati,

rgaisatia aasis, chage aageet, cit iisati, ha resrces

eeet a traiig ca e withi acaeic istittis, ic sectr traiig

cetres, a riate aageet a traiig istittes, e.g., siess ceges. ities

ca as rie kwege a skis eectie cit eeet a iisati.

3. Expertise needed to develop functional capacities for ES (See Annex B, Tool #2):he ae

rgaisatis ca as he i caacities r eaershi, aiistrati, aageet,

strategic aig, acia aig a rject aageet.

he ccsis a recet crehesie od reiew caacit eeet highighte the tetia

ctriti sa-scae iteretis i a tie whe arge, acr araches sch as Wps a irect

getar srt are are (baser a mrga, 2008). t te that sa-scae erts ca:

aress the c ieetati ga etwee cex istittia arrageets a

eratia rests thrgh iig caacit sw, esecia where asrtie caacit is

weak a ea is certai;

target ckets ctr citet a i the ricie eergece trig t

igite se-rgaisati at the icr ee;

stiate iterest, egageet a ea r ger-ter caacit eeet;

aw articiats t ear a aat their wa t greater eectieess, witht akig a ig

et a cex rgrae with certai tces; a

rie iati, see, tie stis a the exiiit t aat t certai r risk

sitatis.

he athrs as sggeste that is critica t cie sa-scae a re crehesie rgraes

r g-ter sccess. his serati eries the ae itig d iatis, we

scaig , ase the rests itrig a eaati.


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fie-steP Process

x 7. BUfU: CCy

f ()

ice 1992, the Gf Gp, aage undp eha a Gf artershi, has ee srtig nGosa bos t aress isses reate t ciate chage, iiersit, iteratia waters, ersistet

rgaic tats a a egraati, whie geeratig sstaiae ieihs. he 2008 rti

ice er 5,000 cit-ase rjects. ach Gf Gp tr prgrae trateg ites

rjects ar a strategic ga a, icreasig, a secic regi a/r thee, e.g., rra reewae

eerg. he Gp is rte i the eie that ga eireta res ca est e aresse whe

there are irect cit eets a wershi a ca ee are ie. aacit eeet

is ke t this arach.

fr exae, rra cities i the wt-t-ea district Ghaa were eetig traitia

rtecte atra resrces (acre Gres) thrgh eig trees r tier, er, ew acharca, a thrgh sstaiae arig ractices a sh res. his e t ss egetati cer

a iiersit, which has i tr atere ciatic regies a water ees. he rests were ecrease

cr rcti a icrease ert a rra-ra igrati. he Gf Gp aie t he

reerse this tre rtig iiersit-ase sa siess a sstaiae ieihs, a

eeig the caacit cit grs t aistrea iiersit cserati a sstaiae

a aageet it cit eeet. ctiities ice reatig egrae areas

with iiges secies; estaishig re ets, cit wts a tree rseries; rtig

agrrestr techiqes; traiig we i ire wste rcti a tiizati; estaishig

icrcreit; a ecatig the cit, icig irig their rject aageet caacit.

Source: GEF Small Grants Programme (2010)

tep 5: valuate capacit development results

aacit eeet is iheret re chaegig t eaate tha re techica iteretis t

staar rests ase aageet a caacit easreet ts ca e se strategica. s te

er te 3, a d iteretis ser r weakesses i esig, itrig a w-. e

re eectie, d ees t g ack t the asics rests-ase aageet thrgh:

eig sstatie d gas a tces i reati t ririt eireta isses;

eisig articiatr itrig sstes that aciitate aatie, caratie araches

t d a icrrate errace iicatrs that are m (ecic, measrae,

chieae, eaistic a ie-); a

cear istigishig etwee d actiities (e.g., ic aasis, wrkshs); tts (e.g.,

a reise ic, eaershi traiig); a tces, exresse as easrae rests (e.g.,

higher ciace rates; icrease wes articiati i agrrestr).
http://sgp.undp.org/http://sgp.undp.org/



fie-steP Process

fr catrig the rests iestet i caacit eeet, undps caacit easreet raewrk

aresses three ees: iact (chage i ees we-eig); tce (chage i istittia

errace, staiit a aataiit); a tt (istittia rct rce r serice rie).

ae iicatrs ca e i the Monitoring Guidelines o Capacity Development in Global Environment

Facility Projects.

x 8. BU WK? fWK f

CCy

Gf/undp/unp hae eee Monitoring Guidelines o Capacity Development in GEF Projects (Gf,2010). he arach ies estaishig a aseie thrgh rai, articiatr caacit assesset

a the echarkig rgress at iteras, as art regar rgrae/rject itrig.

screcar r ratig sste ries iicatrs r each the e Gf-ee cre caacities, with r

ssie ratigs (0,1,2,3) r each iicatr, ase ee criteria, as ws:

1. aacities r egageet;

2. aacities t geerate, access a se irati a kwege;

3. aacities r strateg, ic a egisati eeet;

4. aacities r aageet a ieetati; a

5. aacities t itr a eaate.

he arach is eig ite undp-Gf i etra a aster re, r exae, i the b-2

rject tegratig Ga ireta sses it bgarias egia deeet prcess.

Source: GEF/UNDP/UNEP, February 2010. Monitoring Capacity Development in GEF operations: A framework to monitor capacity

development initiatives

Adaptive Management

The practice ofadaptive management and consideration for the dynamic

nature of capacity building considerably increase the likelihood of an ini-

tiative achieving its intended results. The approach, originally conceived

in the 1980s to deal with environmental uncertainty and now widely used

in environmental management encourages flexibility to account for and

adapt to changing circumstances within which a proect is situated. (UN-

FCCC, 2004) (See also Footnote 16, which describes adaptive collabora-

tive management, a model which combines adaptive management and

participatory approaches to natural resource management.)


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4 C

4.1 U trengths in C

undp has a reewe re a si exeriece t er as a eeet agec etrste t eier

caacit eeet r eireta sstaiaiit. he tie is right t icrrate what has

ee eare at caacit eeet r eireta sstaiaiit it a ate, ssteatic

raewrk a ts that ca e taire t aris ctr ctexts a rgraig es. crease

ehasis ctr-e eeet a the se atia sstes wi reqire resh araches t

d that ca cse the ieetati ga a iise eges caacit acrss a sectrs

sciet. undps greatest stregths t its re i srtig these erts ice:

1. Decentralized, country-driven and operational approach, which akes it we ace t wrk

with arters i itegratig d acrss undps ractice areas at the ctr ee;

2. Growing technical capacity in environment and energy, icig the iret a ergit practice a Kwege netwrks;

3. An integrated approach to environment and development programming that es itse we t

the iterisciiar a crss-sectra rietati d;

4. A solid track record in linking global and local environmental priorities thrgh its wrk t

ehace ctr caacit t ieet the mdGs, i etis a ther ms a

thrgh srt t eeig natia deeet pas a pert ecti trategies;

5. Extensive experience in supporting CDES at the country level, as art cre undp rgraig

a i its re as a eetig gec r the Gf. ma undp-srte rjects with

Gf acig ecass caacit eeet, either as a state ga r a tce. undpctr ces hae as srte a Gf eaig actiities, sch as ns, nbps ,

tr cti pas a rerts t cetis, st which hae ietie caacit ees

a ssie resses, whie as iig aatica caacit; a

6. A pivotal role in working with the GEF and its partners to develop guidance and methods and

supportr caacit assesset, eeet a itrig i rjects with Gf acig.



Programming imPlications

x 9. U-U y- :

CUy- C C

he p eiers acia a techica srt r sstaie caacit eeet t gerets ather actrs wh take the chaege aistreaig ert-eiret ikages it atia

eeet rcesses. fr exae, the p assists aig agecies t csier ert-eiret

ikages, icig ciate chage, i ratig ecic a eeet icies, a hes

eiret agecies t egage with these ic rcesses re eectie. he p as srts cii

sciet t egage i aig rcesses, akig sre the ice the r is hear.

base exeriece t ate, sccess ert-eiret aistreaig reqires a rgraatic

arach aate t atia circstaces. his raewrk has three hases a there are tica a

cster tasks eee r each hase r which a rage aatic ts ca e se:

prearatr phase: fiig the tr pits a makig the ase - ctiities ice cctig

assessets the ctrs gereta, istittia, a itica ctext as we as assessets

that icrease erstaig the atre ert-eiret iks. aisig awareess, iig

artershis, assessig the istittia a caacit ees a settig wrkig echaiss are

as essetia actiities the rearatr hase.

phase 1: maistreaig pert-iret likages it pic prcesses: his ste targets a

secic ic rcesssch as a atia eeet a r sectr strateg ietie as

a etr it as art the rearatr hase. eets ice eeig ew a targete

aatica sties t rie ctr-secic eiece at the atre ert-eiret

ikages i the ctr. re with sch eiece, ractitiers are etter ae t ieti ririties

a crat the argets ecessar t hae a iact the targete ic rcess. oce ert-

eiret iks hae ee itegrate i the ic cet, aistreaig erts ctie

with the eeet a iitia cstig ic easres. ctiities t stregthe istittis acaacities ccr thrght this hase.

phase 2: meetig the eetati haege: he a, st sstaie hase cses

akig ert-eiret aistreaig eratia thrgh egageet i getig,

ieetati, a itrig rcesses. rer t stregthe istittis a caacities i

the g ter, it is critica t estaish ert-eiret aistreaig as ra ractice i

geret a aiistratie rceres, sstes, a ts at a ees.

SOURCE: http://www.unpei.org

4.2 U rogramming or C

Moving away from a project focus towards a programmatic approach.

ttets t i eireta caacit with e- rjects that raw aris ig wiws a

agecies ace csierae chaeges i esrig sstaiae rests. s te earier, the g-ter, icre-

eta atre caacit eeet akes it ict t esig, srt, itr a eaate sig a

traitia rject-ase e. his is articar tre i st-crisis ctries a east eee ctries,

where caacit chaeges are the greatest. (ee ase t #4.)

here is icreasig recgiti that a rgraatic arach ase g-ter iestet is ike t e a


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Programming imPlications

Bx 8. : f jC

C

ireta assesset ices a site ractica aatica ts that ca geerate irati r re

eireta sstaiae eeet. 27 ireta iact assesset () is se t aress theeireta iacts rse rjects a is we estaishe i st ctries, athgh te weak

ieete. drig the 1990s, it ecae cear that rject-ase ha iite aicati at raer

gegrahic scaes a at the ic a rgrae aig ee. trategic ireta ssesset ()

eerge as a t t e se r these raer aicatis a is icreasig ee ate eeig

ctries.

he irtace stregtheig eireta assesset caacit is etie i the paris decarati

a the ccra gea r cti, a creie ca exertise is te aaiae withi geret, the riate

sectr a acaeia i undp arter ctries. h

practitioner's guide: capacity development for environmental sustainability

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