Transcript Slide 1

Effective
Capacity Development
From Theory to Practice
Module 6:
Clear link to results and
monitoring of capacity
development
1
This module discusses
• How to define capacity results
• How to monitor capacity results
CD Quality grid requirement:
3. Clear link to results and expected
outcomes
3.1 Are results and/or outcomes defined beyond what the TC
will deliver? Please give examples of key targeted results at
the level of enhanced capacity of organisation(s), if relevant
outputs that the organisation(s) produce or at the level of
outcomes.
3.2 Have the country partners' inputs, which are required to
sustain the results of the programme, been identified and
specified?
3.3 What innovative forms of TC support have been
considered, e.g. regional sources, staff exchanges or
networking?
Why Is this Criteria Important?
• Thinking about results is at the heart of good
design and management
• Capacity results are as important as other development
results but easily lost in the results chain
• How to capture Capacity Results?
• Think in terms of the outputs (enhanced or modified) of the
organization/system arising from CD process
• Think beyond what external support will
achieve…since has only limited bearing on outcome
Contextual factors beyond influence
Recurrent
inputs
Internal
resources
Capacity
Outputs
CD
processes
Contextual factors and actors within influence
Outcomes
Wider
impact
PARTNER ORGANISATION/
SECTOR
CD PROCESS
IMPACT
EG: Improved development
result eg: better health
OUTCOME
EG: Use of products and
services by clients/ public
CD DEVELOPMENT OBJ
(IMPACT)
Increased use of services
OUTPUTS
EG: products and services
CD IMMEDIATE OBJ
(OUTCOME)
Performance improved
CAPACITY
EG: PFM, leadership, logistics,
technical
CD OUTPUTS
Capacity: Knowledge, systems,
rules, behaviour
INPUTS
EG: Budget & Staff
CD ACTIVITIES
Courses, mentorship, advise
CD INPUTS
TA, funds, training
Some Challenges
• Easy to fall into trap of focusing on donor inputs and
outputs, not organisation/ sector outputs
• Difficulty to specify the performance and capacity changes
that are sought, and to propose indicators
• Theory of change often un-developed/ incomplete.
Assumption of simple linear causality, and
underestimation of impact of different factors on results.
• Pressure to deliver tangible products, less on facilitating
processes, and building sustainable capacity for tomorrow
Specifying CD Results
• Link changes in capacity to proposed changes in
performance
• Performance = Performance change in organisational/
sector outputs (products and services)
• Capacity =Enhanced or changed organisational / sector
capacity
• Aim at a realistic balance between:
• improvements in capacity that can be achieved over
the short to medium term and
• the level of performance that can be expected to
accrue.
• Ideally reflected in a corporate/ sector development plan
Look for results beyond TC
deliverables
Results focus of CD
strategy
Recurrent
inputs
Internal
resources
CD
support
Capacity
CD
processes
Outputs
Results focus of corporate
or sector plan
Outcomes
Wider
impact
Message 1
Be realistic about what can be achieved:
• Developing capacity is in most cases harder to achieve and
support than envisaged
• CD and support processes take longer time than
envisaged
• CD support only effective when aligned to partner’s reform
process
• Think carefully about the change process required to
achieve desired results; is it simple, complicated, complex
(next module)
Message 2
Avoid over-specifying results given
complexity/uncertainty of many CD processes
• Need to be able to bargain and re-strategise along the
way….
• Changing needs arise from lag between design &
implementation
• Imperfect knowledge when enter the process
• Be clear on what you want to achieve, leave space to
determine how you get there (programme estimates?)
Guiding questions for formulating capacity results
• Who or what (organisation, target group, sector, etc.)
needs capacity?
• Why is the capacity needed – for what purpose?
• What type of capacity is needed in order to achieve the
purpose?
• Context and Capacity Assessment (QC1) = key
sources of information in formulating capacity results
• Quality of dialogue and level of ownership (QC2) and
change readiness will influence what can be realistically
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achieved
Remember….
• This is not about specifying outputs of external
assistance
• The results chain firmly belongs to the host
sector/ agency
• The role of external assistance comes later
Exercise:
Make the partner country CD results chain
(what are the changes in capacity aimed for):
•CD outcome
•CD output(s)
•Organisational/Sector Capacity results
•CD process results
•CD inputs
Part 2: Monitoring Capacity Processes and
Results
• Monitoring focuses primarily on the processes,
organisation and outputs of capacity development
• Evaluation pays more attention on the CD results
produced and their effect on outcomes and
impact
• M&E framework is the flip side of the results
framework and should be developed AT THE
SAME TIME
• ESSENTIAL: M&E is the basis for lessons learning and
the justification for changing project structure.
M and E
Recurrent
inputs
Internal
resources
CD
support
Organisational/
Sector Capacity
Outputs
Primary focus of
monitoring
CD
processes
Outcomes
Primary focus of
evaluation
Wider
impact
Monitoring Changes in Capacity
• Purpose is to track changes in capacity over time both for
learning and accountability
• Can be done by looking at:
• changes in organisational/ sector outputs and
• changes in organisational/ sector capacity
Changes in Organisational/ Sector Outputs
Results focus of CD
strategy
Recurrent
inputs
Internal
resources
TC
support
Capacity
CD
processes
Outputs
Results focus of corporate
or sector plan
Outcomes
Wider
impact
Changes in organisational/ sector outputs
• Delivery of products and services as foreseen in results
framework
• A helpful proxy indicator but;
– Capacity does not translate into performance
immediately
– Outputs can improve for reasons other than capacity
enhancement
• Indicators include:
– producer data: services, products, regulations
– client / customer satisfaction
Changes in Organisational/ Sector Capacity
Results focus of CD
strategy
Recurrent
inputs
Internal
resources
TC
support
Capacity
CD
processes
Outputs
Results focus of corporate
or sector plan
Outcomes
Wider
impact
Changes in organisational/ sector
capacity
• can be monitored in many ways:
– Conduct periodic (self) assessments against a baseline
– Conduct Assessments that are Peer-based or
benchmarked against recognised standards
• Indicators need to be jointly selected and understood,
not imposed
• Both quantitative and qualitative indicators required to
capture both tangible and intangible elements of capacity
• Consider use of innovative methodologies such as MSC,
outcome mapping, and appreciative enquiry
Monitoring the Quality of the Change Process
Results focus of CD
strategy
Recurrent
inputs
Internal
resources
CD
support
Capacity
CD
processes
Outputs
Results focus of corporate
or sector plan
Outcomes
Wider
impact
Monitoring the Change Process
• Success depends on joint effort so mutual performance
monitoring is important
• What the country partner has done in terms of leading the process
• What the external partner has done in terms of supporting the
process
• Can be applied at program level but also at level of individual
expert, action
• Need to also take account of changing contextual/ PEA factors
during review
• Arrange as periodic performance dialogue using a structured
format
• Use of QC in EAMR and ROM
Examples of lead questions
How has the context changed during the course of
implementation? (Risks and Assumptions)
• Have enabling and constraining factors increased/ decreased?
• Has the program responded to a changing context?
Have the right processes been used to achieve the desired
changes in capacity?
• Is the external assistance appropriate and performing?
• Is the partner change management appropriate and effective?
Are results being achieved in terms of enhanced capacity
and performance?
• What evidence is there of improved capacity and performance ?
• What is aggregate effect of strengthening different components of
capacity on overall capabilities?
• Has adequate time elapsed to confirm that change is occurring?
• What factors beyond program interventions are influencing results?
Who Does What - Monitoring roles
Who does
what?
The partner
The EC
Monitoring of:
Inputs &
processes
... periodic, systematic dialogue
...together with partner; periodic
about mutual performance with TC
dialogue about summary of
personnel
performance assessment; brokering of
conflicts, adjustments of timeframes
Outputs &
outcomes
Outcomes &
impact
...has main responsibility; can be
...help ensure that results are
government but also CS watchdogs,
monitored appropriately; that results
parliament etc. Serves learning,
of CD monitoring are fed back in
management and domestic
adjustments to CD programmes or
accountability
operations
...has prime responsibility;
...mainly to ‘monitor the monitoring by
government but also think-tanks,
the partner’ with focus on the capacity
advocacy groups, universities; serves
of the domestic monitoring system
learning and domestic accountability
(and support it)
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Exercise:
Formulate CD indicators
based on the results chain
developed earlier
END