Transcript Sector Programme Support Concept, Experiences, Roles and

A Results-oriented Approach to
Capacity Development for
Democratic Governance
Workshop for CIDA
Ottawa,
10.-11.December 2008
Session 1
Introductions and
Learning Objectives
Learning Objectives
o
Make sense of capacity concepts
o
Recognise key elements of the CD
challenge in the democratic governance
area
o
Be able to assist partners adopting a
results-based operational approach to
CD
o
Know options for and limits to own role
in support to CD
3
Session 2
The Capacity Development
Challenge - Overview
Accra Agenda for Action
“Donors will support efforts to increase
the capacity of all development actors –
parliaments, central and local
governments, CSOs, research institutes,
media and the private sector – to take
an active role in dialogue on
development policy and the role of aid..”
5
The Paris/Accra point of departure
“We agreed in the Paris Declaration that
capacity development is the
responsibility of developing countries,
with donors playing a supportive role,
and that technical co-operation is one
means among others to develop
capacity.”
Accra Agenda for Action
6
Then – what are we talking about?
Capacity – synonyms:
Ability, capability, aptitude, faculty,
competence, facility, power, gift…
So what is
the capacity
of this car?
7
CD – What does it mean?
o
“Many view capacity development in
very vague terms“
o
“Capacity development is not even a
term that most people outside of
development organizations really know
much about.”
o
“The lack of a clear and agreed
definition of what is meant by capacity
development is a challenge”
8
The definitions ...
Capacity:
The ability of people, organisations and society
as a whole to manage their affairs successfully.
Capacity development:
The process by which people and organisations
create and strengthen their capacity....
Support to capacity development:
Inputs to capacity development processes
delivered by external actors....
9
Capacity is inside people,
organisations and broader systems
…shaped and
influenced by
external factors
and actors
10
Capacity – in plain figures
Two non-exclusive
options:
“Working on the
demand side”
Capacity of
people,
organisations,
systems
“Working on the
supply-side”
Supporting
change
Contextual factors and actors influencing capacity
11
Five key elements of the approach
A.
Focus on change
B.
Holistic approach
C.
Focus on what is there
D.
Results focus
E.
Serious about ownership and about
donors playing second fiddle – jointly…
12
The Change Function
Dissatisfaction
Cost of
change
Process of
change
Vision
Enhanced
capacity
13
Incomplete functions
o
D x P x V = Change!
o
DxP
o
Dx
o
= Fast road to confusion
V = Anxiety and frustration
P x V = Bottom of inbox
14
Tools for Change
Dissatisfaction
1. Quick Scanning Matrix
2. Setting the stage: Mapping
sector and governance actors
3. Political Economy and
Stakeholder Analysis
4. Organisational assessment
Vision and design
7. Sequencing/ scoping
8. Logical design
Change process
5. Partners’ role in CD
processes
6. Change management
capacity and design
15
Session 3
Assessing capacity: Holistic,
outputs, power issues – what
to look for?
Actors, Organisations and System in
Democratic Governance
Context
Checks and
balances
organisations
Political
System/Government
Citizens, voters,
consumers, economic
agents, elites
etc.
Public and
private frontline
agencies
Core public
agencies
Donors
Governance, demand
Accountability, supply
17
Analytical framework - 1
Organisations as open systems
Contextual factors beyond influence
Development results
Governance
Inputs
Capacity of
Organisations
Outputs
Immed.
+intermed.
Outcome
Impact
Contextual factors within influence
18
What assessments often find...
o
Lack of resources
o
Lack of planning
o
Lack of effective tax regime
o
No transparency
o
No effective oversight
o
No focus on results
o
No….
19
Understanding…nothing??
Current
reality
Desired
Reality:
Democratic
governance
20
Combining values and understanding?
Current
reality
Desired
reality:
Progress towards
democratic
governance
21
Capacity diagnosis, step by step..
“Outside-in”:
1. Why assess, who should assess?
2. Watch the context
3. Focus on results
4. Inputs
5. Go inside the box: other boxes...and
6. What lies beneath?
22
1. Accra ambiguities on assessments
o
“Developing countries will systematically
identify areas where there is a need to
strengthen the capacity to perform….at all
levels…and design strategies to address them”
o
Developing countries and donors will jointly
assess the quality of country systems in a
country-led process using mutually agreed
diagnostic tools…. developing countries will
lead in defining reform…Donors will support
these reforms and provide capacity
development assistance.
23
2. Embedded in the context
= Agents/actors inside and outside organisations
Structural factors
Institutional factors
24
Stakeholders and actors..
o
Individuals and collectives pursuing particular
interests...
o
Political & economic elite, civil servants, the
military, civil society, donors...
o
Always strategizing, always dynamic...
o
..and embedded in structural and institutional
drivers of and constraints to change
o
How can actors help to deal with factor
constraints and exploit drivers?
25
Actors & Stakeholders
Context
Checks and
balances
organisations
Political
System/Government
Citizens, voters,
consumers, economic
agents, elites
etc.
Public and
private frontline
agencies
Core public
agencies
Donors
Governance, demand
Accountability, supply
26
3. Outputs first – outcomes next!
o
Outputs are all aspects of products, services
and regulatory functions
o
Past output levels point to likely future
o
Outputs are good proxies for capacity
o
Capacity changes causes outputs to change
o
Dialogue about outputs diverts attention from
inputs, vague plans, TA, training…
o
But: It is not that simple!
27
Challenge
Outputs?
Prepare for the House of the Commons!
28
Tensions in results-orientation
Managing by Results
- Meet the targets
- “Hard” Outputs
- “Objective” assessment
or verification
- Outwards accountability
- Rigorous methods and
high quality data
- Sanctions and rewards
- Encourages conservative
behaviour
Managing for Results
- Continuous
improvement
- Also “soft” outputs,
outcomes and impacts
- Self-assessment and
participation
- In- and outwards
accountability
- Rapid, low cost methods
- Motivation, learning
- Encourages risk-taking,
experimenting
29
5. Capacity: The six-box model
Strategy
Are goals and strategies clear? Do they
fit inputs and contexts?
Internal Relationships
Between boss-staff,
peers, and units?
Constructive conflict
resolution approaches?
Structures
How is work
divided?
Leadership
Do someone keep the
boxes in balance; adapt to
the context?
Helpful mechanisms
(systems & processes)
Are coordinating and control
instruments adequate (planning,
budgeting, auditing, monitoring)
Rewards (motivation)
Are there incentives for
doing key functions?
Context (actors and factors)
(what constraints and demands does it impose?)
30
The 6 boxes unpacked
o
Strategy:
Are goals and strategies
clear? Do the inputs
and contexts fit?
o
Structures: How is work divided?
o
Leadership: Does someone keep the
boxes in balance; adapt to
the context?
31
The 6 box unpacked (2)
o
Internal Relationships:
Between boss-staff, peers, and
units? Constructive conflict
resolution approaches?
o
Helpful mechanisms (systems & processes):
Are coordinating and control
instruments adequate (planning,
budgeting, auditing, monitoring)
o
Rewards (motivation):
Are there incentives for doing key
functions?
32
6. What lies beneath?
o
Look for both the “functional” and the
“political” dimensions of organisations
o
Look for both formal and informal aspects
o
All organisations have informal aspects and a
political dimension
o
Functional, political, formal, informal - all can
strengthen or weaken capacity and change
prospects
Question: Who needs to know what, and when,
about these aspects?
33
“Functional” and “political” dimension of capacity
Functional dimension
“Political” dimension
Main unit of
analysis?
Focus on functional
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
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
34
Tool: Diagnosis of formal/informal fit
Formal System
Purposes Is there goal clarity?
Structure Functional; product/
project; or matrix?
Relation- Who should deal with
ships
whom on what? What
technologies should be
used?
Rewards
Explicit system: what is
(incentives) it?
Leadership
Helpful
mechanisms
What do top people
manage?
What is the:
-Budget system?
-MIS?
-Planning system?
-Control system?
Informal System
Is there goal agreement?
How is work actually
done?
How well do they do it?
Quality of relations?
Modes of conflict
management?
Implicit, psychic rewards:
what do people feel about
payoffs?
How? Normative “style” of
management?
What are they actually
used for?
How do they function in
practice?
How are systems
subverted?
35
Summary: Diagnostic dimensions
Focus on the
functional-rational
dimension
Focus on the political
dimension
Focus on
factors within
the
organisation(s)
How is the job
done?
How is power exercised
and interests
accommodated?
Focus on
factors in the
external
environment
Is there an
“enabling
environment” for
doing the job?
Which forces influences
the internal power
relations?
36
Session 4
Getting CD results and processes
right for democratic governance
Breaking away from a donor-centric focus
Figure 1: The traditional, limited assumption focusing on donor inputs
Donor
TC
inputs &
activities
is wrongly assumed
leading to
Sustainable
capacity and
results
Figure 2: The extended assumption converting ownership to tangible commitments
Donor and
partners’ input,
and partner
leadership
is leading to
Sustainable
capacity and
results
38
Get CD results right
Design logic: Start from impact, work backwards to determine
if and how TC support may be relevant and feasible
Recurrent
inputs to the
organisation(s)
(budget, staff)
Internal
resources
dedicated
to CD
External
TC
support
to CD
CD outputs:
Organisation(s)
with increased or
enhanced
capacity to
perform
Increased or
enhanced
outputs
(services,
products)
Outcomes
for users of
products
and services
Wider
impact
CD
processes
39
Get CD results right
Design logic: Start from impact, work backwards to determine
if and how TC support may be relevant and feasible
Manager,
staff, some
costs
V.A.T.
experts
CD outputs:Tax
authority has
procedures, staff
and managers
able to
administer VAT
VAT
revenue up
200%,
coverage
80%
complete
VAT
revenues
transparently
used in
budget for
social
services
Increased
literacy,
improved
health,
stronger
social
contract
Change process
lead by managers
with training,
coaching, joint
development of
new processes
40
Session 5
Change Management and
Ownership – how to make it
operational?
Challenge
Which words are most positively connected
with capacity to develop and change?
Powerful, harmony, tension, emotional,
agreement, forceful, conflict, orderly,
unknown, planned, control, interested,
motivated, interests, drive, reason….
Add to the list…
42
Characteristics of change processes
o
Rarely linear
o
Normally contested and resisted
o
Most often incremental
o
Goals and plans have ritual functions as
much as managerial
o
Losses materialise quicker than wins
o
Change creates angst
43
Key factors for successful CD - process
o
External pressure for change
o
Leadership, creating sense of urgency,
purpose and feasibility
o
Credible coalition for change, with
enough power to deal with resistance
o
Carefully crafted change strategy and
cunning change management
o
Flexible change process
44
Elements of change processes
Agenda setting ->
Formulation/Design ->
Approval ->
Implementation ->
Pausing/phasing out ->
45
Upwards relations
2
1
Supply-side
networks
2
1
0
Relations to
users/customers
1
2
1
2
Strengths
Weaknesses
Change team’s
capacity
46
Four options for interventions
Focus on the
functional-rational
dimension
Focus on the political
dimension
Focus on
factors within
the
organisation(s)
Getting the job
done
Getting power right, and
accommodating
interests
Focus on
factors in the
external
environment
Creating an
“enabling
environment” for
doing the job
Forcing change in the
internal power relations
47
Change interventions a la carte
Predominantly functionalrational perspective
Predominantly political perspective
Interventions
targeted at
internal
elements
Change of systems,
structures, procedures,
technology; skills
training; management
training,
Promotions, firing, targeted
support to “groups of
reformers”, sanctions against
rent seeking, performancebased benefits to key staff
Interventions
targeted at
external
stakeholders and
factors
Output-based budgeting,
change of resource
envelope, change in
formal/legal mandate,
introduction of
supervisory agencies etc.
Coalitions of external
stakeholders strong enough to
impose change. User pressure
for accountability, support to
advocacy and lobby groups,
training of politicians,
journalists.
48
Session 6
Donor support to CD – roles,
means – and joint approaches
A Challenge from Paris
“Capacity development is the
responsibility of partner countries with
donors playing a support role”
Paris Declaration 2006
- What does that mean???
50
Focus on the sector/organisations
o
Don’t ask what donors can do for the
organisation/sector…
o
..ask what the sector/organisation might
want to do to strengthen its capacity –
o
- and whether donors might be helpful
or not to that process –
o
Question: What could that entail?
51
Tool: Development partners’ roles
o
Identify the roles actually played in
cases you are familiar with
o
Discuss if there is a trend between what
was done and what maybe should have
been done
o
Time for the task: 45 minutes
52
Discussion – donor roles in CD support?
o
Capacity development is a domestic
affair
o
So, how proactive should donors be?
o
If it depends on the context, which
context factors are then important?
53
Donor roles in developing support
o
Support development of broad directions for
change and of change strategy
o
Focus on feasible CD targets in terms of
changes in organisational outputs
o
Understand drivers and constraints to become
a trusted partner
o
Play a catalytic role, do not design or
implement
o
Ensure that CD inputs can adapt to the process
rather than vice versa
54
Joint CD support in sector programmes
o
The SWAp is all about strengthened sector
capacity, capacity often the difficult missing link
o
CD is a core part of the sector programme, not
an add on – get it on the agenda
o
Same principles apply for CD as for other SP
areas:
• Alignment to framework and joint plans before joint
funding modalities
• Share diagnostics, reviews, dialogue
• Exploit comparative advantages – and disadvantages…
55
How donors can support CD processes
o
Own efforts
o
Financed/acquired
• Behave!
• Peer mechanisms
• Get a grip on the
• Piloting new ways
context for CD
• Deepen dialogue
• Stop topping-up,
poaching of staff etc.
• Don’t go alone
• Staff exchanges
• Knowledge acquisition
• TA
• Training
• Seek and share
knowledge
56
TA - Triangular Affairs- Uneasy Balances?
LOCAL
INSTITUTION(S)
DONORS
Customer?
Client?
Beneficiary?
Partner?
Stakeholder?
Employer?
TA
Doer?
Middleman?
Mediator?
Facilitator?
Controller?
Spy?
57
Session 7
Bringing the ingredients of the CD
cocktail together
Repetition: The Change Function?
Dissatisfaction
Cost of
change
Process of
change
Vision
Enhanced
capacity
59
Results-based CD
Contextual factors beyond influence
Inputs
CD
support
Capacity
of Sector
System and
Organisations
OutputsOutcomes Impact
Contextual factors within influence
60
Key factors for successful CD - content
o
Scope of change in relation to existing
capacity
o
Realistic targets – defined as outputs
o
Combination of various options for CD
o
External pressure for change
o
Specificity of the products
o
Sequencing and timing of interventions
61
Basics first?
o
Inputs and procedures before results?
o
External controls before trust in
managers?
o
Don’t try to replace patrimonialism,
work to modify it?
o
Work on reducing discretionality and
opaqueness, rather than introducing the
Perfect System?
o
Leave NPM on the shelf?
62
Sequencing
o
Platform approach: Basics first, consistent with
power relations and change capacity
o
Reform units?
o
Ring-fencing strategic units?
o
Focusing on “uncontroversial” routine
processes?
o
Risks in all approaches and no right answer
o
Sectors cannot do it alone
63
CD planning matrix
Impact
Outcomes
Capacity
CD development
objective
CD immediate
objectives
CD results
Recurrent inputs
CD activities
Outputs
CD inputs – all sources
64
Monitoring Capacity Development
o
Why?
• Accountability
• Promote and sustain change
o
Who?
• Depends…
o
What?
• The whole chain
65
Results-based CD
Contextual factors beyond influence
Selfassessment
Inputs
CD
support
Capacity
of Sector
System and
Organisations
Customer
surveys
OutputsOutcomes Impact
Political
system
Academia
Contextual factors within influence
External
partners
66
Self-assessment
1
2
3
4
5
Leadership
Customer orientation
Teamwork
Systems
2007
2006
67
About helping others...
“That if real success is to attend the effort to bring a man to a definite
position, one must first of all take pains to find HIM where he is and begin
there.
This is the secret of the art of helping others. Any one who has not
mastered this is himself deluded when he proposes to help others. In
order to help another effectively I must understand more than he- yet
first of all surely I must understand what he understands. If I do not know
that, my greater understanding will be of no help to him. If, however, I am
disposed to plume myself of my greater understanding, it is because I am
vain or proud, so that at bottom, instead of benefiting him, I want to be
admired. But all true effort to help begins with self-humiliation: the helper
must first humble himself under him he would help, and therewith must
understand that to help does not mean to be sovereign but to be a
servant, that to help does not mean to be ambitious but to be patient,
that to help means to endure for the time being the imputation that one is
in the wrong and does not understand what the other understands.”
Søren Kierkegaard: The Point of View for My Work as An Author (1859). Translation
by Walter Lowrie, Harper & Brothers, New York, 1962.
68
Session 8
Next steps and future options:
Open Forum
Proposed agenda
1.
CD in CIDA – new ways but love stays?
2.
Learning and research needs?
3.
Next steps?
70