CAST - 05.01.2017

Capacity Assesment Tool - CAST

The C40 Cities Finance Facility (CFF) supports cities in mobilizing finance for city-level climate change action in urban infrastructure. The lack of capacities and skills have been frequently named through C40 member cities as major bottlenecks in terms of project development and project implementation, but also regarding the acquisition of investors. CAST therefore helps cities identify existing gaps that have prevented implementation of similar projects before. It evaluates the relevant capacities to then develop a specific action plan for capacity development measures addressing the identified gaps in cooperation with the respective municipality.

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Despite their potential and their high levels of emissions, Megacities have not yet sufficiently advanced in reducing their greenhouse gasses (GHG). The lack of capacities and skills have been frequently identified as major bottlenecks, both in terms of project development and implementation, but also regarding the potential acquisition of investments. Therefore, the objective of the CFF is to support cities in reducing their GHG emissions and boosting resilience by mobilizing finance for city-level climate change action in urban infrastructure.

This assessment tool hence serves two purposes:

a) it ensures that projects can be achieved with satisfactory outcomes and scales, and

b) it helps city administrations, especially the Project Proposing Department (PPDpt.) to demonstrate existing skills and to develop the capacities still needed, including those to mobilize and access financial instruments for climate change in the near future.

To this end, it is imperative to ensure that projects for GHG reduction are highly relevant, that their implementation can be ascertained, and the outcomes and lessons learned used for preparing new projects.

An essential feature to meet this aim is the ex-ante assessment projects, with the intent to evaluate and improve the capacities for their implementation and operation.

For this purpose, this assessment tool has been developed.

This survey reviews different aspects of available capacities. Wherever you feel capable of responding to the questions of the respective chapter you can indicate to do so. If you started answering but then find out that you cannot or do not want to answer the chapter, you can always go back to the chapter's start and check "no". Please keep in mind that your informed answers will help the department to improve its capacities and are highly appreciated.
1.0 Background information
1.1 Do you work in the project proposing department?*

YesNo

1.8 In which entity do you work ?
I work as...*

A collaborating department of the municipalityAn administrative division of the city / sub-entity (delegation, ward)A cooperating bi- or multilateral agencyAn independent, external expert.With a Civil Society OrganizationWith a company in the financial sector
Please name and describe the department you work for (planning, environment, etc.) and whether it is a collaborating department, independent, multilateral etc.

2.0 Administrative and financial management
This chapter is about the tasks and contexts the Project Proposing Department (PP Dpt) is working with. The intention is to evaluate internal capacities and to identify what is managed by the department itself.
2.1 Would you like to respond to the questions of this rubric*

Yes

2.6 Do you have an infrastructure investment plan for your city prepared that clearly identifies infrastructure projects that your city needs for at least the next 5 years? If so, by whom was it prepared?*

Yes, by financial experts in the department.Yes, by other staff in the department.Yes, by staff from other departments on behalf of department.Yes, by external staff or consultants.No, the department has no Investment Plan.
score Q2.6

2.7 Have potential sources been screened for financing the project?*

Yes screened and assessedOnly screenedNo
score Q2.7

3.0 Climate Awareness
The objective of CFF´s technical assistance is directly linked to climate action. On the basis of that, this chapter reviews how the municipality generates, manages and shares knowledge regarding climate hazards, risks, impacts, vulnerability and responses. This knowledge should guide institutional decision making on strategies, plans and actions for locally appropriate adaptation to environmental change and mitigation of greenhouse gas (GHG) emissions. The ability of cities to do this is connected to, among other things, institutional awareness about climate change.
3.1 Based on the previous explanation can you answer some questions regarding climate change awareness ?*

YesNo (skip this rubric).

3.2 Within the Department, is there staff with theoretical understanding / knowledge of carbon emissions reduction costs ?*

Yes, there are staff with this theoretical understanding/knowledgeNo, there is no staff with this theoretical understanding/knowledge
score Q3.2

3.3 Please specify how many of the staff has this theoretical understanding/knowledge

Less than 20% of department personnelBetween 20% and 50% of department personnelAbove 50% of department personnel
score Q3.3
3.4 In which position are they currently employed?

Only Management levelOnly Technical levelIn both levels
score Q3.4

3.5 Within the Department, is there staff with practical experience in carbon emissions abatement?

Yes, there are staff with this practical experienceNo, there is no staff with this practical experience
score Q3.5
3.6 Please specify how many of the staff has a theoretical understanding/knowledge

Less than 20% of department personnelBetween 20% and 50% of department personnelAbove 50% of department personnel
score Q3.6
3.7 In which position are they currently employed?

Only Technical levelOnly Operational levelIn both levels
score Q3.7

3.8 Have staff members also attended accredited courses on climate change planning? (For example, International Refresher courses, Massive Online Open Courses on Climate Change, Short term University courses, UN training courses)

Yes, there are trained staff on climate change planningNo, there is no trained staff on climate change planning
score Q3.8

3.9 Please could you estimate how many of the staff has this theoretical understanding/knowledge

Less than 20% of department personnelBetween 20% and 50% of department personnelAbove 50% of department personnel
score Q3.9
3.10 In which position are they currently employed?

Only Management levelOnly Technical levelIn both levels
score Q3.10

Please answer the following questions regarding your understanding of these issues:
3.11 What is one of the main reasons for introducing bicycle infrastructure in cities with high per capita emissions and traffic congestion?

To mitigate risks from floodingTo improve citizens’ mobility and reduce local CO2 emission levelsTo stop the breakout of diseasesTo reduce the importation of old vehicles
score Q3.11
3.12 What is one of the reasons for maintaining or increasing urban green for enhancing the climatic resilience of urban infrastructure?

To prohibit development in high-risk areasTo reduce the amount of solid waste produced or dumped in the streetsTo enhance water infiltration and reduce runoff during peak dischargesTo purify water to make it safe for drinking
score Q3.12

4.0 Technical assessment
The following chapter surveys the technical capacities to plan for greenhouse gas (GHG) reduction. Internal knowledge is evaluated and assessed against the ability to integrate the consideration of vulnerabilities and risks into the planning.
4.1 Based on the previous explanation can you answer some questions regarding technical assessment ?*

YesNo (skip this rubric).

4.5 Is there a Vulnerability/Risk Assessment that spatially identifies areas at risk and interactions between different multiple hazards (i.e. riverine and/or coastal flooding due to stormsurges, landslides,drougth, sea level rise, land subsidence) and vulnerability?

Yes, there is a Vulnerability/Risk Assessment that spatially identifies areas at risk from multiple hazards. It is electronically availableYes, there is a Vulnerability/Risk Assessment but it does not explicitly take interactions among different hazards into account (i.e. it only aggregates single risk indexes). It is electronically availableYes, there is a Vulnerability/Risk Assessment but it does not take interactions among different hazards into account (i.e. it only aggregates single risk indexes). Only portions are electronically availableYes, there is a Vulnerability/Risk Assessment but information is not updated or reliable. It is not used for project development and it is only in paper formatNo, there is no Vulnerability/Risk Assessment plan available
score Q4.5

4.6 Who produces the Vulnerability/Risk Assessment plans?

Technical staff within the department.A mix of technical staff within the department and from supporting department.Staff from supporting department.External staff / consultants.
score Q4.6

4.7 Is there a formal requirement for climate change adaptation to be integrated or mainstreamed into development planning?

Yes there is an authoritative body with strong mandate and financial resources.Yes there is a coordinating body but with limited fundingYes there is a coordinating body but with limited mandateNo coordinating body exists
score Q4.7

4.8 In your department are there institutional mandates to raise awareness of and disseminate information about climate change (risks, impacts, responses, etc)? *

Yes, there is a department given formal mandate for climate change awareness raising, with significant support (financial, technical, etc) to achieve thisYes, there is a department tasked with raising climate change awareness but with modest support to achieve thisYes, there is a department tasked with raising climate change awareness, but this is an additional responsibility not matched by additional supportNo institutions is given formal mandate for raising awareness of climate change issues, risks & response options
score Q4.8

5.0 Collaboration and Cooperation
In terms of cooperation and collaboration the survey looks into the established networks and the support received and provided to other entities inside (collaborating departments) and outside (cooperating institutions) the municipality.
5.1 Based on the previous explanation can you answer some questions regarding collaboration ?*

YesNo (skip this rubric).

5.2 Has the PP Dpt. collaborated with one or more other departments in your municipality?

Yes, the department has been involved in regular and productive roundtables with more than two departments of this municipalityYes, the Department has been involved in roundtables with more than two departments.Yes the department collaborated on one project with one other department of this municipalityThe department is only seldomly involved in roundtables with other departments of this municipality and meetings are not productive
score Q5.2

5.3 Please mention the name of the collaborating department(s).
5.4 What can the department say about collaborating with other departments of this municipality?*

There was a two-way flow of information and empowerment of other municipal departments (including this one)There was a situation of balance where control was shared between this department and the department in chargeControl was sometimes shared between this department and the department in chargeThere was a one-way flow of information and dominance and advocacy by one/few municipal departments in charge
score Q5.4

5.9 When engaged in a joint project does the department promote a shared understanding of a projects' mission, objectives, goals and targets with external actors?

Yes the department always promotes a shared understanding of a projects' mission, objectives, goals and targets with external actorsYes, in most cases the department promotes a shared understanding of a projects' mission, objectives, goals and targets with external actorsYes, but only in few cases the department promotes a shared understanding of a projects' mission, objectives, goals and targets with external actorsNo, the department never promotes a shared understanding of a projects' mission, objectives, goals and targets with external actors
score Q5.9
5.10 Does the PP Dpt. commit to the roles and responsibilities stipulated during a joint project with external actors?

Yes, the PP Dpt. always commits to the roles and responsibilities stipulated during a joint project with external actors.In most cases the PP Dpt. commits to the roles and responsibilities stipulated during a joint project with external actors.In few occasions the PP Dpt. commits to the roles and responsibilities stipulated during a joint project with external actorsNo, the PP Dpt. does not commit to the roles and responsibilities stipulated during a joint project with external actors
score Q5.10

6.0 Participation
As a requirement for the project's implementation, the ways and means of participation are assessed in this chapter. It particularly looks into how the public was informed and consulted.
6.1 Based on the previous explanation can you answer some questions regarding participation?*

YesNo (skip this rubric).

6.2 Has the proposed project been shared before submission?

Yes, with the public during the process of developing the proposal.Yes, during its development only with other departments / the municipal government.Yes, as a finished document.No
score Q6.2

6.3 Where there any amendments after the consultations?*

Yes and the stakeholders (such as civil society) were highly satisfiedYes and the stakeholders (such as civil society) were partly satisfiedYes but the stakeholders (such as civil society) were not satisfiedNo amendments done.

6.4 Is the project part of a broader (strategic) plan?*

Yes, of a plan prepared by the PP.Dpt.Yes, of a plan prepared with participation of the department.Yes, of a plan prepared in a consultative process.No.
score Q6.4

7.0 Context of the project
This chapter explores the broader context of the project, i.e. beyond the merely project-related cooperation. It includes questions on efficient working conditions.The most important aspect of this part lies on the use of capacities within the department to engage with other entities.
7.1 Based on the previous explanation can you answer some questions regarding the context of the project?*

YesNo (skip this rubric).

8.0 External conditions
In the following chapter we want to explore with you which are the favourable conditions, and which could be the partners that can support the success of the project. Again, the most important aspect are here the capacities that can help its realization.
8.1 Based on the previous explanation can you answer some questions regarding externalities?*

YesNo (skip this rubric).

8.6 What kind of change?

Better capacitiesMore resources (human, financial)Collaboration between the departmentsCitizens' supportDedicated support from decision-makers

9.0 Personal Information

please let us know
9.1 How many years of work experience do you have?
9.2 What is your gender?*

malefemaleother / no answer
9.3 Would you share with us your name and contact, thus we can communicate with you?

First NameLast Name
9.4 E-mail

Confirmation Email
Should be Empty:

	leading role	strongly involved	involved	supporting	informed	not involved
Project preparation
Project calculation / budgeting
Project implementation
Project operation
Project maintenance
Project monitoring and evaluation
review and future improvements

	Very Important	Important	Somewhat Important	Not Important
Service Quality
Improved access to services
Impact on Environment
Innovation

	Most relevant for the PP Dpt.	Drafted by PPDpt. experts	Prepared by the municipality	Outsourced
Vision plan
Development plan
Master plan
Detailed project plans
None

	Time taken for the approval process (days)	Departmental staff inputs (Expert days)
Department Directorate
City government
National Government

	Name	Amount invested (US$)	No. of experts involved from the PP Dpt. (estimates)
Project 1
Project 2
Project 3
Project 4
Project 5

	Potential High	Potential Medium	Potential Low	No Potential
Public Financing ( national transfer, municipal/metropolitan funds, municipal fees, taxes, public assets)
PPPs
Debt Financing ( International, National Bonds, Debt refinancing mechanisms)
Equity Financing
Climate Financing (grants and loans)
The domestic debt market (banks, pension funds, insurance companies, leasing companies, etc.)

	first priority	second priority	third priority	less important
Multi-level (e.g. national, regional and local entities working well together)
Multi-sectorial
Multi-stakeholders coalitions

	first priority	second priority	third priority	less important
Comprehensive understanding of climate change
Technical skills
Citizenship education
Access to information
Enabling environment to apply what is known
Learning institutions
Financial investments

	High	Medium	Low
The mayor
The local government
The municipal administration
The citizens
Other stakeholders

	High	Medium	Low
The major
The local government
The municipal administration
The citizens
Other stakeholders

Capacity Assesment Tool - CAST

1.0 Background information

2.0 Administrative and financial management

3.0 Climate Awareness

4.0 Technical assessment

5.0 Collaboration and Cooperation

6.0 Participation

7.0 Context of the project

8.0 External conditions

9.0 Personal Information