Transcript Slide 1

Effective
Capacity Development
From Theory to Practice
Module 3:
Fit to the context and existing capacity
Where do we start from?
1
This Module
•
• Introduces Quality Criteria 1
• Discusses why looking at context and capacity is
important
• Suggests ways to assess Context
• Suggests ways to assess Capacity
• Reflects on participant’s experiences
CD Quality Criteria 1:
1. Fit to the context and existing capacity
1.1 Are there critical constraints in the context which could
make TC ineffective and impede achieving the purpose of the
TC? If yes, how will they be addressed?
1.2 Has the existing capacity of the concerned partner(s)
organisation(s) been assessed? Is it confirmed that the
objectives and the scope of the support match the existing
capacity to lead, manage and absorb the support?
1.3 How have similar programmes and types of support
worked in the current context? Please indicate which, if any,
and why they have been successful.
Why is this criteria important?
Don’t waste resources
Avoid ‘parallelism’
Best fit to context and capacity
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Assessment - a key task:
• Throughout the life
of programme, not
just design
• To ensure relevance,
determine feasibility,
allow for adaptation,
monitor progress
Initial
assessment
Design
Reassessment
Re-design
• Ensure linkages with
the policy dialogue
• Lessons Learning.
And so on
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Assessing Context
Contextual factors beyond influence
Recurrent
inputs
Internal
resources
Capacity
Outputs
Outcomes
CD
processes
Contextual factors and actors within influence
Wider
impact
Assessing the Context
• Understanding drivers, opportunities and
constraints to change; (the rules of the game, binding
constraints)
• Stakeholder mapping: (power and influence both
formal and informal)
• Recognising influence of culture, and history of
organisations, sectors, countries
• Distinguishing what is possible in different contexts:
(MIC versus Fragile/ post-conflict. Simple org’n versus
complex sectors)
The relationship Culture and Context
for capacity change
CULTURE
CONTEXT
CAPACITY IS
ALWAYS
CONTEXTUAL
The relationship
between culture,
context, capacity
and change is very
complex because
capacity and
change are
embedded within
context, while at
the same time it is
the context that
offers the potential
levers for change
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Three context assessment tools
• Political Economy Analysis:
• Methodology for analysing the “space” for reform
• Specific guidance available: PPCM and Cap4Dev practice group
• Opportunity Framework:
• A way to look at broad geo-political and socio-economic
processes providing reform “windows”
• Methodology under preparation
• Stakeholder Mapping
• Sector Governance mapping produced by EC in sector guidance
• Multiple tools and methods available on internet/ resource books
• BUT NO SUBSTITUTE FOR SUSTAINED ENGAGEMENT
AND BUILDING OF SOUND RELATIONSHIPS
Assessing Capacity
Contextual factors beyond influence
Recurrent
inputs
Internal
resources
Capacity
Outputs
CD
processes
Contextual factors and actors within influence
Outcomes
Wider
impact
Assessing Capacity
• Multiple purposes:
• As a design tool to build results framework for an
intervention
• As a self-administered health check for organisational
learning and ownership for change
• As a way to engage in a dialogue on need for change
• As a monitoring tool to track progress over time
• As a performance management tool to incentivise
performance improvement
• As a tool to determine compliance and eligibility against set
norms and standards
•
What Assessment can help understand
• Symptoms or underlying causes of poor capacity
• Strengths to build on
• Clarity of vision/ strategy regarding capacity
• Different perspectives on what matters
• What has previously worked/ not worked
• Who is doing what and potential sources to draw on
• Cross cutting issues – gender sensitive
• Possible entry points
• Change over time
Multiple instruments
• Depends on the purpose
• Depends on concept and understanding of capacity being
applied
• The EC ‘Toolkit for Capacity Development’ has several
tools for different types of assessment
• Any tool can and should be adapted to local context and
needs, or parts of different tools can be put together to
meet a specific need
Examples of assessment tools
Purpose
Instruments/tools
Organisational/
• EC Toolkit for CD
Sector Assessment • ECDPM 5Cs
• McKinsey’s 7s, Weisbord’s 6 boxes and OCAT
• IDRC Organisational Assessment
• EU 7 key areas of sector assessment
PFM reform and
compliance /
Governance
assessment
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•
•
•
•
EU 4 pillars
PEFA
ACBF Capacity Indicators
CPIA/ World Bank
Political-Economy Analysis
Customised theme
or sector specific
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UNOPS/ OECD Procurement Assessment
County Capacity Readiness Assessment
UNDP Disaster Risk Reduction
…and many many more.
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“Functional” and “political” dimension of capacity
Functional dimension
“Political” dimension
Main unit of Focus on functional
analysis?
task-and-work system
Focus on powerand-loyalty systems
Driving
forces?
A sense of norms, intrinsic
motivation
Sanctions and rewards,
incentives
Image of
man?
Employees caring for the
organisation
Individuals caring for
themselves and their in-groups
Change?
Participative reasoning,
finding best technical
solution, orderly
Internal conflict, coalition
with powerful external
agents, unpredictable
Change
efforts?
Internal systems, structures, Incentives, change of key
skills, technology etc
staff, outsmarting
opposition
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Some Good Practice Tips
• Keep it simple, avoid over-analyzing, especially early on
and risk to undermine trust and confidence
• Avoid focusing just on gaps and weaknesses, build on
strengths and understand why things are the way they are
• Use and build on existing information, avoid intrusiveness
• Encourage self-assessment to promote ownership/ learning
• Watch out for assessment fatigue, timing crucial
• Remember gender – too many assessments gender neutral
Depending what purpose, opportunity, stage of process, can
range from simple, “quick and dirty” through to
comprehensive and analytical
An incremental approach to assessment
Where we
are now
Extension
and
improvement
would look
like …
Can provide
the basis for
specifying
capacity
results
And then the
next level
would be …
Would
maybe
provide the
basis for
specifying
the overall
capacity
objective
Our capacity
vision
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What Role for the EC/ DPs?
• Invest in dialogue and relationship building
• Help build a constituency for change
• Provide technical expertise with respect to techniques and
approaches
• Facilitate and support self-assessment
• Help establish baseline data about current capacity to
enable effective monitoring and evaluation of results
• Explore opportunities to harmonise and align through
coordination with other donors
Multi-layered recurrent dialogues
Political
Dialogue
(EAS and
MS Foreign
Affairs
Officials)
Policy
Dialogue
(Better
Strategy
and Policy)
Technical
Dialogue
(Implementing
Policy)
Head of
Delegation/
HoMs
Head of
Cooperation
/Section/Ho
Cs
Task
Manager
National
Aid
Architectu
re,
Sector
Working
Group
(Ideally
Governme
nt Led)
Likeminded
Donors
Minister
Permanent
Secretary/
DGs
Gov. Head
of Unit
CD support
programme
Next module:
• Context assessment
• Identifying (and supporting)
local demand and ownership
•
END