Transcript Slide 1

Effective
Capacity Development
From Theory to Practice
Module 2:
Concepts and Principles
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This Module
• Discusses: “What is Capacity
Development?”
• Considers Capacity Development in EU
cooperation
• Provides an overview of Definitions and
Concepts
Capacity Development in EU
Cooperation
• A key driver of aid and development effectiveness:
Paris to Busan
• A central theme shaping the way the EU provides
development assistance, address Agenda for
Change
• A feature of most if not all projects and
programmes – much more than TC
• A distinct area of work or a key cross-cutting
theme? Primary or complementary action?
Definitions
Capacity: the ability of people, organisations and
society as a whole to manage their affairs successfully
=
Capacity Development: the process by which people,
organisations and society as a whole strengthen,
create, adapt and maintain capacity over time =
Capacity Development Support: refers to what
outside partners (domestic or foreign) can do to
support, facilitate or catalyse capacity development &
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related change processes =
Conceptual Model
Contextual factors beyond influence
Recurrent
inputs
Internal
resources
Capacity
Outputs
CD
processes
Contextual factors and actors within influence
Outcomes
Wider
impact
What is Capacity?
Contextual factors beyond influence
Recurrent
inputs
Internal
resources
Capacity
Outputs
CD
processes
Contextual factors and actors within influence
Outcomes
Wider
impact
What is Capacity?
• Capacity Levels
• Capacity For What?
• Elements of Capacity
Capacity Levels
Levels
Areas (examples)
• Sectors, networks
• Enabling factors
• Coordination
• Leadership
• Service delivery
• Skills, performance
• Ambition, drive
Organisations, Sectors, Networks
SECTOR CAPACITY
Capacity for what?
Contextual factors beyond influence
Recurrent
inputs
BLACK
BOX
Capacity
for what?
(output)
Internal
resources
CD
processes
Contextual factors and actors within influence
Outcomes
Wider
impact
Elements of Capacity
CAPACITY
SectorSpecific:
nurses,
teachers,
engineer
Policy &
Strategy
Analysis,
planning,
dialogue,
leadership
“corporate
”
PFM, HR,
M&E etc.
Implemen
tation
Logistics,
business
processes,
communicat
ions
Elements of Capacity
CAPACITY
CAPABILITY
TO COMMIT
& ENGAGE
Elements of Capacity
CAPACITY
STRUCTURES
LEADERSHIP
LEGAL FRAMEWORK
RESOURCES
SYSTEMS
STAFF
EQUIPMENT
INFRASTRUCTURE
Elements of Capacity
CAPACITY
TANGIBLE
(skills, systems,
structures)
INTANGIBLE
(loyalty, values,
identity,
leadership)
FUNCTIONAL
(managerial,
logistical,
technical)
SOFT
(learning,
relational skills)
FORMAL
(mandated
functions &
roles)
INFORMAL
(power, interests,
networks)
What is
• Main Characteristics
Contextual factors beyond influence
Recurrent
inputs
Internal
resources
Capacity
Outputs
CD
processes
Contextual factors and actors within influence
Outcomes
Wider
impact
• Its much more than individual training…..though
knowledge sharing can often be important
• Need to be unbundled and looked at from perspective of
individual, organisational and enabling environment
• About supporting change processes…to lift
organisational/ sector capacity to yield performance
improvement and development results
• It needs to be treated as an integral part of
organisational/ sector development plans, not as an
isolated field
• CD is change, therefore principles of change
management apply; ownership, leadership and change
readiness are critical
What has been learned about
capacity and its development
• Strong endogenous dimension, development
partners can support, not lead
• Relies on knowledge sharing
• Influenced by incentives and opportunity
• A change process (+ change is political:
winners and losers)
• Involves complexity and uncertainty
How Does Change Happen?
• Emergent – evolve over time, dynamic
• Transformative – in a crisis or when a block to
change has been overcome
• Planned – purposeful interventions result in desired
changes
Transformative
The realities of change:
• It is rarely linear
• It is usually contested
and resisted
• It is most often incremental
Emergent
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Complexity and Capacity
Far From
Agreement
▲
▲
▲
Close to
Agreement
Anarchy
Complex
Complicated
Complex
Simple
Complicated
Close to
Certainty
►►►
Complex
Far From
Certainty
Action Fields
Creation
Individual
Organisational
Retention
Development of
adequate skills,
Application of skills,
Reduction of staff
turnover, facilitation
of skills and
knowledge transfer
within institutions
Establishment of
efficient structures,
Integration of
structure, processes
and procedures in the
Regular adaptation
knowledge,
competencies and
attitudes
processes and
procedures
Establishment of
Institutional
and policy
environment
Utilization
adequate institutions,
laws and regulations
knowledge,
competencies in the
workplace
daily workflows
of structures,
processes and
procedures
Enforcement of laws Regular adaptation
and regulations for
good governance
Source: Rwanda Public Sector Capacity Building Secretariat available at
http://resourcecentre.pscbs.gov.rw/best accessed 3.1.2012
of institutions, laws
and regulations
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What is Support for Capacity Development?
• A modest but important role….that goes beyond TA
• The Quality Criteria – towards good design, effective
engagement, regular review and learning
• Ownership - the local drive for change is most
important
Contextual factors beyond influence
Recurrent
inputs
Internal
resources
Capacity
Outputs
CD
processes
Contextual factors and actors within influence
Outcomes
Wider
impact
Key Message: Donors can promote and
accompany, but can’t “do” it
• Can provide access to resources, ideas,
connections and opportunities
• BUT no substitution for commitment, energy,
motivation
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To play this role requires:
• A thorough understanding of context,
challenges and opportunities for change
• Consideration of range of alternative
strategies and entry points
• Being open and explicit in discussing
approaches/options
• Being flexible and ready to adapt and learn
to changing needs, and opportunities
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The changing donor role
• First listen, listen again …..
• Are you relevant to your partner?
• Dialogue, negotiate, influence, facilitate
• Broker
…… so watch your language
The big picture challenges
Make capacity
development support to
a country led process
Make existing capacities
the strategic starting
point
Challenges
Be realistic (and
innovative) about
support options
Define and measure
capacity results
The CD Quality Criteria
Offers guidance on how on to apply good practice in
supporting capacity development
•
1.
Fit to the
context and
existing
capacity
5.
Appropriate
PIAs
2.
Adequate
demand, and
ownership
Quality EC
Capacity
Development
4.
Harmonized
support
3.
Clear link to
results and
outcomes
Support for Capacity Development
• Quality criteria offer guidance on how to apply
good practice for supporting capacity development
• Applying quality criteria raises questions for the EU:
• What expertise does it require?
• What scope to adapt procedures to realities on the ground?
• How to manage trade-offs
- investing in complex and long CD processes
- short-term expectations for quick concrete results;
- meeting disbursement targets
How the QC are applied in PCM
The EC has developed tools for monitoring the quality
implementation, which provide the framework for good design
•
•
•
•
of
The QSG (Quality Grid)
The ROM
The annual EAMR
RAC evaluation
The novelty of the EC approach lies in translating the Aid
Effectiveness principles into quality criteria to be mainstreamed into
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the EC Project Cycle and be monitored regularly
END