CTCN Request Incubator Programme

Mapping Climate Technology Stakeholders

ContentsFigures................................................................................................................................... 1

Tables.....................................................................................................................................2

Acronyms................................................................................................................................3

Introduction............................................................................................................................4

Objectives of the stakeholder mapping tool..........................................................................4

Stakeholder definition: what makes a stakeholder................................................................4

The importance of involving stakeholders in climate technology transfer ...........................5

Identification and mapping: step by step.................................................................................5

Relevant stakeholders: how to identify them........................................................................5

Making a comprehensive list of various stakeholders...........................................................7

Mapping stakeholder involvement at the various stages of the technology transfer process............................................................................................................................................... 7

Preliminary assessment and review of existing mapping.....................................................10

Stakeholder consultation process..........................................................................................11

Importance of consultations with stakeholders...................................................................11

Conducting stakeholder consultations: methodologies and techniques.............................11

Documenting stakeholder consultations.............................................................................15

Examples from TNA countries................................................................................................16

Mauritius: Identifying relevant stakeholders.......................................................................17

Thailand: Conducting stakeholder consultations.................................................................17

Colombia: Documenting stakeholder consultations and involvement.................................17

References.............................................................................................................................18

Annexes.................................................................................................................................20

Annex 1: Template for documentation of stakeholder mapping.........................................20

Annex 2: Template for documentation of stakeholder consultations and involvement......20

FiguresFigure 1 Stakeholder Interest-Power Matrix..................................................................................9Figure 2 Stakeholder Participation Matrix...................................................................................10Figure 3 Questions for successful stakeholder documentation...................................................16

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TablesTable 1 Categories of stakeholders or interested parties for the technology transfer process.....5Table 2 Grid for organising stakeholders.......................................................................................7Table 3 Main roles in the technology transfer process..................................................................8Table 4 Steps for reviewing the TNA process...............................................................................10Table 5 Consultation tools and techniques..................................................................................12Table 6 Best practice....................................................................................................................14Table 7 Mauritius TNA: Best practices, methodologies and recommendations for NDEs............17Table 8 Thailand TNA: Best practices, methodologies and recommendations for NDEs.............19Table 9 Colombia TNA: Best practices, methodologies and recommendations for NDEs............20

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Acronyms

CP Consortium Partner

CTCN Climate Technology Centre and Network

GHG Greenhouse gas

IFC International Finance Corporation

NAMA Nationally Appropriate Mitigation Actions

NDE National Designated Entity

NGO Non-Governmental Organisation

ODA Official Development Assistance

SME Small and Medium Enterprises

TNA Technology Needs Assessment

UNFCCC United Nations Framework Convention on Climate Change

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Introduction

Objectives of the stakeholder mapping toolThrough 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 development and 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).

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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 themIn 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).

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Table 1 Categories 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.

2. 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.

3. Electric utilities and regulators.

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

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

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

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

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

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

10. Labour unions, consumer groups, and media.

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

12. International organizations, cooperation agencies, and donors.

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

14. 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

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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 selected from specific groups, and the relationships, if any, between stakeholders should 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 Annex 1 has been developed in order to identify the stakeholder'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:

i. 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 2 Grid for organising stakeholders

Private sector Public Sector Stakeholders Civil Society Stakeholders

Corporative and business Business associations Ministers and advisors

Media Churches / Religion

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Private sector Public Sector Stakeholders Civil Society Stakeholders

(executive) Civil servants and departments (bureaucracy)

Elected representatives (Legislature Courts (Judiciary)

Political parties Local governments/councils

Military Commissions International bodies (World

Bank, UN, etc.)

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 3 Main 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

ii. 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 FigureStakeh 1 capitalises on this by calling the 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;

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but those with high relevance and low interest are 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 1 Stakeholder Interest-Power Matrix

Source: Hovland, 2005

iii. 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 Figure 2, 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.

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Figure 2 Stakeholder 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 processSteps ProcessIdentify 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

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SA SB

SB

SC

SD

SE

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 stakeholdersStakeholder 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 process either directly or indirectly (IFC, 2008).

Thus stakeholder consultation should lead to the development of productive and constructive relationships that are maintained not only throughout, but beyond the CTCN assistance life cycle, wherein emerging challenges and developments that have the potential to impact the technology transfer process are quickly brought to light and can be easily identified, as well as followed-up on for future deployment and dissemination. The argument for consulting stakeholders therefore goes beyond merely building rapport or engendering goodwill, but becomes a viable tool that can be used to identify needs and track perceptions, solicit feedback, and evaluate processes and developments. Through stakeholder consultation, resources can be allocated more efficiently and effectively and enhance sustainability, increasing the chances of successful implementation.

Stakeholder consultations characterise transparency and good governance through engagement and communication, and as is further outlined below, represent a form of best practice (Morgan, 2015).

Conducting stakeholder consultations: methodologies and techniquesStakeholder consultation is, "the process of gathering information or advice from stakeholders and taking those views into consideration to amend plans, make decisions or set directions" (Partridge et al., 2005). It should ideally take into account and solicit input on the functions, characteristics, limitations and expectations of the technology transfer process, and identify stakeholder requirements or concerns

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(REQB, 014). Consultations tools and techniques are listed below and can be built into a methodology that fits the vision and goals.

Table 5 Consultation tools and techniques

Technique Description Application Disadvantages

Questionnaires and Surveys

Questionnaires and surveys are primarily used for gathering quantitative information but can include both open and closed-ended questions. They are generally used to target larger audiences, and help to capture the overall breadth of stakeholder knowledge.

To detail and confirm stakeholder information

Organize content of stakeholder requirements

Preview and select potential solutions

Excludes implicit knowledge

Dependent on respondent motivation and response rate

Potentially be structured in a leading or directive way

Interviews

Interviews are a primarily qualitative method that allow the user to ask questions and gain responses from the stakeholder on specific areas and topics, and allow for adaptive interviewing techniques where new information, pertinent to the overall objectives of the study, can be added to the interview questionnaire as it is brought up during the interview process. This not only helps to improve data collection but also improves the focus of the study to address issues as they

arise.

Obtain information on a specific topic and area

Allow for the introduction of relevant new information or concerns

Clarify stakeholder requirements

Time consuming Inability to

effectively replicate or standardize results

Often require time intensive coding processes to draw out messages and themes

Workshops and Focus

Groups

A workshop or focus group draws together key stakeholders representative of certain sectors, agencies and communities for focused discussion on a specified topic or area. These should ideally

Identify requirements to establish solutions scope

Identify hidden requirements that are not directly

Geographical barriers

Natural leaders may emerge and dominate the conversation, biasing the

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involve stakeholders who hold differing points of view in order to help outline concerns and requirements coming from different perspectives, and help build consensus around solutions.

stated but needed to meet stakeholder needs

Define priorities of requirements or reach consensus

Discover and resolves potential conflicts between stakeholders

resulting messages in one direction

Power dichotomies may emerge when bringing different stakeholder groups together, to the advantage of some and disadvantage of others

Participatory Appraisal and Self-recording

Participatory appraisal focuses on the activities of the stakeholder, and requires them to self-document their activities, processes, or methods and describe desired changes, concerns or needs. This method gives the stakeholder a direct role and voice in the consultation process, and endeavours to see the technology transfer process cycle from the stakeholder's perspective.

Understand procedures or processes from the stakeholder perspective

Dependent on motivation and experience of the user

Public Forums

Public forums allow an outlet for the general public to provide meaningful inputs into the decision making process, and can be used as an early warning system for public concerns. Public forums also give voice to any relevant stakeholders that maybe have been missed out in the stakeholder identification process.

Identify requirements from the public

Allow the public’s values to be incorporated into decisions

Identify and address public concerns.

Time and capacity intensive

If done poorly, can result in negative perceptions

Field Observation Field observation can take

many shapes and forms, but involves watching stakeholder activities and processes, and documenting processes and

Identify requirements by observing stakeholder activities

Avoid problems the

Exceptional cases may not come to light

May be inhibited by geography, safety, political or

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results. These observations can then be used to describe requirements based on what was observed, and have the added benefit of allowing the user to identify processes or activities that may have been missed during surveys or interviews.

stakeholders may have with expressing their needs

legal reasons.

Brainstorming

Brainstorming with stakeholders allows for the rapid collection of inputs and ideas at a relatively low cost. Stakeholders are asked to submit ideas and concepts related to a specific topic or problem.

Resolve requirements or conflicts

Outline various options and solutions

Dependent on participant motivation

Not easily applicable across distributed teams

Adapted from: REQB 2014 and IFC 2008

As each of the above consultation techniques has its own advantages and disadvantages, and it is recommended to undertake stakeholder consultations using an iterative range of tools in order to achieve effective results and avoid knowledge gaps. The selected techniques and eventual methodology should coincide with the overall goals and vision of the consultation process.

Additionally, while stakeholder consultations will always be context-specific, with techniques and methodologies developed and designed for the local level, it is still possible to identify and follow a best practice approach. The IFC (2008) identifies 11 practices for successful stakeholder consultations, which have been adapted in order to allow NDEs to apply them in order to identify the best requests:

Table 6 Best practice

TARGETED Consultations should be targeted towards those most likely to be effected by the technology transfer process, including identifying relevant sectoral groups or those groups with potential requests.

EARLY Consultations should take place far enough in advance to identify key issues and their potential impact on future direction.

INFORMED Stakeholders should be informed about the scope of the technology transfer process, due to the early distribution of pertinent information and stakeholders should be well prepared ahead of the consultations of the content of potential requests.

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MEANINGFUL Consultations should be presented to stakeholders in a way that is mindful of the local context and follow techniques sensitive to cultural perspectives.

INCLUSIVE Consultations should be structured in such a way that all participants have the opportunity to express their views and have their issues addressed- with all requests given full consideration and decided upon based on elements collected in the consultations, as different stakeholder groups will maintain different interests

GENDER SENSITIVE Consultations should also recognize that men and women often have not only different viewpoints, but different needs, and that this is likely to effect the consideration and prioritisation of requests.

LOCALIZED Consultations should take into account and reflect local context, language and timeframes.

UNBIASED Consultations should endeavour to remain as unbiased as possible, and remain free from manipulation or coercion.

DOCUMENTATION Consultations should be thoroughly documented in order to maintain an index of the key issues and concerns of participants, as well as record a list of those consulted, allowing the NDE to prepare for future consultations and build upon previous consultations to develop a good request.

FEEDBACK Timely feedback to stakeholders on submitted and selected requests should be a priority, as well as transparency of the final decision making process and clarification of any next steps or on-going processes.

FOLLOW-UP Consultations with stakeholders should be on-going throughout the duration of the technology transfer process in order to make sure requests remain relevant.

Source: Adapted from IFC, 2008

Documenting stakeholder consultationsThe objective of stakeholders’ mapping and consultation is the identification and development of a good request. As noted in the best practice table above, it is critical to document stakeholder consultations, including their activities and outcomes, in order to successfully manage and benefit from the engagement process. Documentation is necessary for critical reflection on the engagement process and for tracking any commitments or compromises, and will allow the NDE to prepare for future consultations by building upon stakeholder inputs to identify and develop a good request. The questions in figure 3 must be taken into consideration:

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Figure 3 Questions for successful stakeholder documentation

A template for documentation of stakeholder consultations and involvement has been developed and included in Annex 2. This tool has been developed in order to satisfy and enhance monitoring and evaluation criteria, and can be a useful indicator of whether or not the views of those affected and key stakeholders have ultimately been integrated into design and implementation.

Stakeholder documentation can also be used for follow-up and reporting back to stakeholders in order to demonstrate how their priorities or concerns have been addressed (IFC, 2008). As described above, timely follow-ups with stakeholders are a form of good practice, in order to keep them updated on the technology transfer cycle and next steps in the process. Follow-up also allows for the double-checking of information and documentation, or refining approaches, commitments or processes before implementation. It would also allow the NDE to gain support for future follow-up actions to CTCN technical assistance, given a record of involvement, an established reputation for credibility, and documented 'buy-in' from previous stakeholders.

What are the follow-up actions, if any?Did the NDE commit to additional follow up with

the stakeholder?Has the NDE informed the stakeholder of the

final requests?Has the NDE invited input and feedback on the

final selection process?

What were the results of the consultation?Was a request agreed upon or prioritised by the

stakeholder? Were any requests denied or rejected by the

stakeholder?Did the NDE take away any relevant information

to include in future consultations?

Where any agreements, concessions or commitments made?Did NDEs agree to include or exclude any stakeholder criteria or feedback when developing/considering

requests?

Where any requests put up for further development or consideration by stakeholders?

Did the NDE commit to moving forward with or developing any requests?

What themes or messages did the consultations explore?What was the stakeholder's criteria for a

identifying a good request? Which requests best meet stakeholder needs? Did stakeholders make any suggestions for developing sound requests?

Where did the consultations take place?

Who were the stakeholders consulted?Are the stakeholders representative of a specific sector? What role do they play in the technology transfer process?

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Examples from TNA countries

The following section outlines three different examples taken from TNA stakeholder consultations in Mauritius, Thailand and Colombia. It is important to note that the objectives of TNAs and the CTCN differ, and the examples are descriptive. However, a matrix has been developed for each example that shows how the NDEs can draw on such case studies by linking them to best practices, different methodologies, and formulating recommendations that NDEs can taking into account when identifying stakeholders and organising consultations.

Mauritius: Identifying relevant stakeholders A positive example of identifying relevant stakeholders can be found in Mauritius's TNA, which seeks to ensure maximum local stakeholder ownership of the project. The TNA utilizes a bottom-up approach wherein all key stakeholders who understand local contexts and priority sectors are given a central role in the project. Using this bottom-up approach, the TNA coordinator, Climate Change Division staff, MoESD, and a TNA consultant, undertook a stakeholder mapping exercise. This mapping exercise was performed using a sectoral approach, focusing primarily on the mitigation and adaptation sectors and with the support of the National TNA Committee. A list of relevant stakeholders from these sectors was identified and presented to the inception workshop for validation and approval.

Having successfully identified a list of relevant stakeholders, it was consolidated into five different sectoral working groups, covering energy, agriculture, water, coastal zones and tourism. A chair was established for each group to act as a focal point and key representative. These sectoral working groups were then able to recommend twenty-five potential adaptation technologies aimed at improving the resilience of agro-ecosystems during a single working group session at the inception workshop.

While the objectives of TNAs and the CTCN differ, Mauritius still represents a good example of how identifying key stakeholders and using mapping techniques to organise stakeholders according to sector or role can yield concrete results very quickly and efficiently.

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

Best practice (table 6) Method (table 5) Recommendation for NDETargeted Brainstorming

Field ObservationLike Mauritius, NDEs could use a targeted approach to identify stakeholders within certain sectors by undertaking a brainstorm exercise that 1) identifies relevant sectors and 2) seeks to identify key stakeholders within these sectors.

This brainstorming exercise should consider: What sectors should be

targeted

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The role of the stakeholder in technology transfer

Stakeholders with potential requests or the ability to help develop a good request

Localised Public ForumsWorkshopsFocus Groups

Having identified stakeholders, Mauritius took a bottom-up approach to make sure local contexts and viewpoints were included through a series of sectoral workshops.

NDEs can undertake a similar process of consultative workshops by considering: What constitutes a good

request in the local context, based on elements collected in the consultations and

The how the different priorities of a variety of local stakeholders can be used to develop a request

Thailand: Conducting stakeholder consultations Thailand's TNA is an example of how different tools and techniques can be drawn upon to yield a successful model for stakeholder consultation.

Thirty-seven experts and stakeholders were identified from the governmental, private and academic sectors and tasked with prioritising technologies that best matched the adaptive needs of targeted subsectors. These stakeholders were divided up into focus groups and undertook a series of workshops on five different technology options: (1) forecasting and early warning technology, (2) crop improvement technology, (3) precision farming/resource management technology, (4) post-harvest technology, and (5) animal nutrition and feed technology. Experts and stakeholders then identified, ranked, and discussed these options and the top-ranked technologies were discussed through a brainstorming process. The brainstorming process allowed stakeholders to flag the differences of readiness among the selected technologies as an important issue in the technology transfer process.

In addition to focus groups, workshops, and brainstorming exercises, Thailand also launched a series of national public hearings on technologies for the water resource management sector and the TNAs to boost stakeholder engagement. This is an example of how stakeholder consultations can utilize different techniques such as focus groups, workshops, brainstorming sessions, and public forums in tandem to direct and focus discussion and produce practical, actionable results for aiding in the technology transfer process.

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

Best practice (table 6) Method (table 5) Recommendation for NDEInclusive Brainstorming

Focus groups WorkshopsPublic forum

Thailand employed a variety of different tools to build their own stakeholder consultation approach and flag different stages of readiness. NDEs should make use of these different tools to build an approach that best suits their needs, depending on the local context (as above) and in order to be as inclusive as possible and produce requests that are relevant for their stakeholders.

When consulting stakeholders, NDEs should consider: Which approach is most

relevant for the stakeholders, and the need to potentially use different approaches for different groups or different types of requests

Recognize the different priorities of different stakeholders by including all requests for review

Colombia: Documenting stakeholder consultations and involvement The TNA from Colombia is one of the best examples for demonstrating effective stakeholder documentation. While Colombia not only undertook through stakeholder identification and mapping process, giving consideration to different regions and economic sectors, as well as creating a list of their stakeholders and providing a detailed justification for each, they also constructed a stakeholder database. This database acts as a log for stakeholder documentation and contains the contact details of each stakeholder, a description of meetings and workshops the stakeholder was involved in, the objectives of the meeting, and the meeting outcomes and results.

Colombia will use the stakeholder database they created as fundamental support for the analysis of methodologies, barriers and measures, which they eventually plan to use for structuring an action plan constituting training modules on: energy efficiency, the technical characteristics of the industrial process, the current state of technologies, in addition to capturing the perception of the different stakeholders on climate change and its interrelationships with economic variables. This is an excellent example of how important and useful stakeholder documentation is for project development and follow-up.

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

Best practice (table 6) Method (Annex 2/ table 5) Recommendation for NDEDocumentation Template for documentation of

stakeholder involvement and consultation (Figure 3/Annex 2).

Like Colombia, NDEs should document their consultations in order to keep a record of 1) objectives, 2) commitments, 3) agreements or 4) concessions undertaken with the stakeholder.

NDEs can use the template in Annex 2 to tack: The objectives of the

consultation Any requests put up for further

development or consideration by stakeholders

If the NDE committed to moving forward with or developing any requests

Follow-up Public ForumsFocus groups Training workshops

Having developed a comprehensive database, Colombia used this to develop an action plan for potential follow-up and training of stakeholders.

NDEs can create a similar action plan for follow-up with stakeholders by: Developing an action plan for

future stakeholder engagement

Keeping the stakeholder informed of any developments with requests

Inviting feedback on new, revised or final requests

References

Aaltonen, S., & Kreutz, E. (2009). Engage your Stakeholders: Stakeholder Involvement Toolkit for Local Authorities.

Hovland, I. (2005). Successful Communication. Overseas Development Institute (ODI), September 2005.

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IFC. (2008). Stakeholder Engagement: A good practice handbook for companies doing business in emerging markets. Washington, D.C.

Morgan, C. A. (2015). Stakeholder Consultation: Keep Your Ears To The Ground. Retrieved May 20, 2015, from https://www.b2binternational.com/publications/stakeholder-consultation/

Partridge, K., Jackson, C., Wheeler, D., & Zohar, A. (2005). The Stakeholder Engagement Manual Volume 1: The Guide to Practitioners’ Perspectives on Stakeholder Engagement (Vol. 1).

REQB (2014). REQB Certified Professional for Requirements Engineering: Foundation Level. Requirements Engineering Qualification Board.

Santandreu, A. (2014). Un instrumento colaborativo desde la gestión del conocimiento para el aprendizaje y el cambio. ECOSAD.

von Luepke, H. (2013). Stakeholder Engagement and National Consultations for the NDE and CTCN: Training Workshop For NDEs of the CTCN (Presentation).

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Annexes

Annex 1: Template for documentation of stakeholder mapping

Stakeholder Category Interests Role Relevance Rank

Name of identified stakeholder

funders, employees, senior leadership, organizational partners, or competitors, etc.

planning, programme design, strategic development, financial gain, etc.

data or information provider, focal point, industry representative, project beneficiary, etc.

importance to technology transfer process

1,2,3,4,5, etc.

Annex 2: Template for documentation of stakeholder consultations and involvement

Organisation/Stakeholder

Date and Place

Name and title of NDE staff in attendance

Contact Persons/Organisation

Key issues raised

Agreements reached

Follow-up actions

Multi-Purpose Government Cooperative for Farmers

May 20, 2014Amhara Savings and Credit Union, Michael Debir, Ethiopia

Jane Doe, Engagement Officer

Estefanos Demessie, Agricultural Extension Officer

Premium payment issues; risk reduction activity locations; seed distribution

Risk reduction activities will take place in 4 villages; 350 farmers will receive improved seeds

Estafanos to call meeting of insurance committee; risk reduction activities to be agreed upon by agricultural extension agents.

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