CTCN Request Incubator Programme /
Mapping Climate Technology Stakeholders

Contents

Figures

Tables

Acronyms

Introduction

Objectives of the stakeholder mapping tool

Stakeholder definition: what makes a stakeholder

The importance of involving stakeholders in climate technology transfer

Identification and mapping: step by step

Relevant stakeholders: how to identify them

Making a comprehensive list of various stakeholders

Mapping stakeholder involvement at the various stages of the technology transfer process

Preliminary assessment and review of existing mapping

Stakeholder consultation process

Importance of consultations with stakeholders

Conducting stakeholder consultations: methodologies and techniques

Documenting stakeholder consultations

Examples from TNA countries

Mauritius: Identifying relevant stakeholders

Thailand: Conducting stakeholder consultations

Colombia: Documenting stakeholder consultations and involvement

References

Annexes

Annex 1: Template for documentation of stakeholder mapping

Annex 2: Template for documentation of stakeholder consultations and involvement

Figures

Figure 1 Stakeholder Interest-Power Matrix

Figure 2 Stakeholder Participation Matrix

Figure 3 Questions for successful stakeholder documentation

Tables

Table 1 Categories of stakeholders or interested parties for the technology transfer process

Table 2 Grid for organising stakeholders

Table 3 Main roles in the technology transfer process

Table 4 Steps for reviewing the TNA process

Table 5 Consultation tools and techniques

Table 6 Best practice

Table 7 Mauritius TNA: Best practices, methodologies and recommendations for NDEs

Table 8 Thailand TNA: Best practices, methodologies and recommendations for NDEs

Table 9 Colombia TNA: Best practices, methodologies and recommendations for NDEs

Acronyms

CPConsortium Partner

CTCNClimate Technology Centre and Network

GHGGreenhouse gas

IFCInternational Finance Corporation

NAMANationally Appropriate Mitigation Actions

NDENational Designated Entity

NGONon-Governmental Organisation

ODAOfficial Development Assistance

SMESmall and Medium Enterprises

TNATechnology Needs Assessment

UNFCCCUnited Nations Framework Convention on Climate Change

Introduction

Objectives of the stakeholder mapping tool

Through this detailed guidance document, NDE technical leads will understand why a process of stakeholder involvement should be undertaken as a crucial part of the technology transfer process, which stakeholders should be involved in in the process, and how to bring them in and keep them interested throughout the process. Seeking the benefits of stakeholder involvement is crucial for any country seeking to have successful results, which will later facilitate an effective implementation stage.

Thus the aim of this training tool is to allow the NDE, with support from the regional CP, to successfully map climate technology stakeholders that are related to climate technologies, and generate a list of climate technology stakeholders from various sectors and types of institutions, that have strong relevance and can positively impact the deployment of climate technologies.The material should be used by the CPs in each country participating in the programme to train the NDE on how to conduct a mapping of climate technology stakeholders and to guide the NDE through this exercise. NDEs thus can use these tools to identify and prioritize requests for technical assistance that have strong potential to trigger deployment of technologies on the ground and leverage finance.

Different national circumstances in terms of institutional structures in the public and private sectors, existing capacities, the state of technological developmentand vulnerabilities to climate change will require different approaches for stakeholder engagement in each country. Consequently, this training tool should be taken as a reference for stakeholder engagement, but adapted to the unique circumstances and needs of every country.

NDEs can concretely use this guidance note to produce the following outputs and deliverables:

  • Categorise stakeholders
  • Stakeholder organisational grid
  • Stakeholder participation matrix
  • Template for documentation of stakeholder mapping (Annex A)
  • Template for stakeholder consultations and involvement (Annex B)

Stakeholder definition: what makes a stakeholder

A stakeholder is an individual, or group of individuals, who have an interest in a particular decision, measure or intervention and the impacts these may have on them. It can include those who make the decision, those who could influence it and those who will be affected by it. That decision “…will affect and influence the stakeholder in a certain way as an individual or as a group, in the same way the stakeholder also has an opportunity to influence on the decision-making process: through its own action” (Aaltonen & Kreutz, 2009).

The importance of involving stakeholders in climate technology transfer

In order to submit quality requests to the CTCN, NDEs need to have an overview of the various actors related to climate technologies. This would enable the NDE to have insights on specific technology challenges and opportunities to submit requests that were developed in consultation with relevant actors, and to gather support for future follow-up actions to CTCN technical assistance, as stakeholders will have already been exposed to proposed actions and provided some level of “buy-in”. In this sense, stakeholders are CTCN clients, and can help develop requests that have the potential to create impacts at the ground level.

In addition, it will enable the NDE to connect with a wide array of stakeholders (government departments with responsibility for policy formulation regulation, and budget allocation, private and public sector industries, associations, and distributors, electric utilities and regulators, finance community, international organizations/donor representatives, SMEs, research institutions, NGOs, etc.), and raise awareness on these issues and on opportunities offered by the CTCN. These stakeholders could play an important role in CTCN processes as request applicants or network members.

Identification and mapping: step by step

Relevant stakeholders: how to identify them

In order to submit quality requests to the CTCN, NDEs need to have an overview of the various actors linked to climate technologies. This enables the NDE to have insights on specific technology challenges and opportunities to submit requests that were developed in consultation with relevant actors.

While identifying relevant stakeholders must be done on a case by case basis, NDEs can turn to pre-existing national documents or processes for inspiration and support. TNAs, for example, have already undertaken stakeholder consultations and are in the process of developing a TNA Guidance note on Stakeholder Identification and Engagement that NDEs could use as a starting point. Other examples of potential data sources include: National Communications, NAPAs, National Climate Change Strategies, etc.

Requests to the CTCN should point to the challenges linked to climate change that a particular country is facing, and have a clear focus on climate technologies for mitigation and adaptation to climate change and the actions the country will undertake to enable the development and transfer of those technologies. These should relate to actual technology development and transfer, and it is important to plan ahead so that stakeholders that can have a stronger role are involved in the process.

Stakeholders can belong to various groups or categories, but NDE project leaders can divide them into 14 categories (Table 1).

Table 1Categories of stakeholders or interested parties for the technology transfer process

  1. Government departments with responsibility for policy formulation and regulation of sectors related to the request.

  1. Industries and industry associations, businesses, and distributors that are operating in sectors with high GHG emission impact or that are vulnerable to climate change impacts.

  1. Electric utilities and regulators.

  1. Within the private sector, technology users and/or suppliers who could play a key local role in developing/adapting technologies in the country.

  1. Organizations involved in the research and development, manufacturing, import, sales, and promotion of technologies for mitigation or adaptation.

  1. The finance community, which could provide the capital required for technology project development and implementation.

  1. Communities, small businesses and farmers that are or will be using the technologies and who would experience the effects of climate change.

  1. Non-Governmental Organizations involved with the promotion of environmental and social objectives.

  1. Institutions that provide technical support to both government and industry (e.g., universities, research institutions, think tanks, and consultants).

  1. Labour unions, consumer groups, and media.

  1. Country divisions of international companies responsible for investments important to climate policy (e.g., agriculture and forestry).

  1. International organizations, cooperation agencies, and donors.

  1. International agencies, e.g., UN, bilateral, ODA.

  1. Other climate change / UNFCCC focal points: UNFCCC, Adaptation fund, NAMAs etc.

Source: von Luepke, 2013

This broad categorization provides a good initial idea of who to include, however, this will vary in terms of the country in question, the significance of particular groups, the chosen sectors and the prioritization of technologies. The selection of stakeholders will therefore need to be tailored to the relevant context.

Another way to develop a good first idea of who to include, is to think about which stakeholders can make the process more robust and efficient by: (1) providing data (e.g. public agencies, private companies), (2) delivering technical assistance (e.g. public and private sector experts, cooperation agencies and consultants), (3) conducting the facilitation/ intermediation process (e.g. specialized firms, business promotion agencies, technology promotion agencies, and civil society groups), (4) procuring additional funding (e.g. Ministry of Finance, international cooperation, public investors) and (5) dissemination of results (e.g. communications officers, media).

Making a comprehensive list of various stakeholders

Once stakeholders have been identified it is then important to gain a comprehensive understanding of their roles, and where in the project cycle they are best engaged. Representatives should be selectedfrom specific groups, and the relationships, if any, between stakeholdersshould be determined and their interests in the technology transfer process identified. Potential conflicts should be acknowledged, analysed, and opportunities recognized. Failing to assess key stakeholders can result in the lack of consideration of important limitations or requirements from the project design. Thus leaving out key stakeholders or failing to acknowledge their vested interests can result in the need for costly and complex changes to the project design late in the game (REQB, 2014).

Thus the stakeholder mapping tool in Annex1 has been developed in order to identify thestakeholder's interests, analyse their organisational relevance and evaluate the environment. The tool requires you to list any previously identified stakeholders, categorise them, indicate their interest in the technology transfer process, and identify their potential for participation. It also requires you to justify your choice of stakeholder and their relevance to climate technology transfer, and rank them based on their importance and impact for successful technology transfer.

Mapping stakeholder involvement at the various stages of the technology transfer process

It is important to ensure that the right stakeholders are engaged at the right time. The above stakeholder mapping tool will help lead to better prioritization and also give an idea of which stakeholders should be fully engaged in the different stages of the technology transfer process. There are a variety of approaches for assessing which stakeholders should be involved in which stages of the technology transfer process depending of the type and complexity of the project. However, in order to identify in the most appropriate approach and relevant stakeholders, it is recommended to follow a series of steps:

  1. Mapping the entire forest: Start with a brain-storming activity with the participating stakeholder group who have good knowledge of the technology transfer process objectives and characteristics. This small working group should give the activity a good overview of the problem that needs to be solved. Some examples for effectively organising the brainstorming session and minimising the risk of missing key stakeholders can be found in Table 2.

Table 2Grid for organising stakeholders

Private sector / Public Sector Stakeholders / Civil Society Stakeholders
Corporative and business
Business associations / Ministers and advisors (executive) Civil servants and departments (bureaucracy)
Elected representatives (Legislature Courts (Judiciary)
Political parties
Local governments/councils Military
Commissions
International bodies (World Bank, UN, etc.) / Media
Churches / Religion
Schools and Universities
Social movements and advocacy groups
Trade unions
National NGOs
International NGOs

Adapted from: Santandreu, 2014.

Another useful tool for mapping stakeholders is shown in Table 3 below, which proposes to divide stakeholders in 5 groups, each with specific roles that are relevant for the technology transfer process. In the table, the Driving Group refers to stakeholders who take a lead during the process and are key in order to drive the project ideas to the next level of implementation; Political Decision Makers facilitate the execution of the process; Technical Support refers mainly to actors that help identify and validate the proposed technologies; Interest and Opinion includes stakeholders that will provide relevant data and useful information to make better project decisions; finally, Social & Institutional Support refers to actors that will facilitate the interaction with local populations directly affected by the technology transfer process.

Table 3Main roles in the technology transfer process

Driving Group / Political Decision Makers / Technical Support / Interest and opinion / Social & Institutional Support
Key Ministries (Environment, Finance, etc.)
Private Sector Partners / Regional environment authorities
Government authorities (such as Ministries of Commerce, Industries, Agriculture, Energy and Transport). / Academic institutions (technical background)
Researches
Private business (large industries and SMEs) / Guilds private sector / NGOs
Local authorities
  1. Knowledge of each stakeholder: The stakeholder assessment tool above requires stakeholders to be ranked in order of their importance and relevance to the technology transfer process. The matrix proposed in FigureStakeh1capitalises on this by callingthe prioritization of effort depending on the characteristic of each stakeholder group. For example, stakeholders with high interest but low relevance should be kept informed about the project and proposed technology; but those with high relevance and low interestare the ones that should be able to see the benefits of the project at the end of the technology transfer process. And of course, the key stakeholders for the project will be those with both high relevance and interest and should be appropriately engaged at applicable levels of the process.

Figure 1Stakeholder Interest-Power Matrix

Source:Hovland, 2005

  1. Define the timing for participation: Stakeholders are often people with busy schedules, so it should not be assumed that they will have plenty of time for the project. In that sense, a useful tool for organizing and ensuring the participation of stakeholders is the matrix shown in Figure2, which helps define when the participation of the different stakeholders for each step of the technology transfer process is critical. Based on this model, stakeholders have the opportunity to book the time in advance.

Figure 2Stakeholder Participation Matrix

Inform / Consult / Document / Follow-up
Step 1. / Activation of Programme / / /
Step 2. / Support before submission of request for assistance / /
Step 3. / Support after submission of request for assistance /

SX: Stakeholder x

Adapted from: IFC, 2008

Preliminary assessment and review of existing mapping

Not all NDEs will have the same starting or entry point when it comes to identifying relevant stakeholders for consultation, as this will depend upon the country. The existence of a TNA process, or a similar process for technological assessment, could influence how NDEs approach the technology transfer process and the rationale behind it.The TNA process can thus be used to identify, review, and revise stakeholders to identify future requests to the CTCN, as noted in Table 4.

Table 4 Steps for reviewing the TNA process

Steps / Process
Identify / During the TNA process, a potential list of stakeholders for consultation will have been identified, along with their roles, responsibilities and methods of engagement. This is an ideal starting point for NDEs looking to identify stakeholders.
Review / Given that an initial list of stakeholders has already been identified, it is then necessary to review this list, bearing in mind that the TNA process and CTCN assistance operate under different objectives.
Given the CTCN objective of prioritizing and identifying requests for technical assistance, it is important that stakeholders already identified by the TNA:
  • Could the stakeholder be a potential request applicant?
  • Does the stakeholder list comprehensive and useful (i.e. involve private sector actors, cooperation business associations and communities, civil society, banks, investors, donors, etc.)?
  • Do they strong role and effectively create impact for the deployment of technologies?

Revise / The stakeholder list can thus be revised and updated after the review above is undertaken, and stakeholders can be removed or added as necessary.

Stakeholder consultation process

Importance of consultations with stakeholders

Stakeholder consultations are an important source of information that not only help improve and shape design, but are also key for identifying and prioritising sound requests to submit to the CTCN for technical assistance. Additionally, consultation can lead to the development of strong partnerships and form the basis for future collaboration, particularly when stakeholders are given the opportunity to engage in the process by raising concerns and asking questions, giving them the breadth to help shape the technology transfer processeither directly or indirectly(IFC, 2008).