capacity needs assessment nairobi re sakss-workshop-4-12-2012
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Capacity Needs Assessment
Suresh Babu
ReSAKSS Workshop, Nairobi,
April 12,2012
IFPRI
Regional Strategic Analysis and
Knowledge Support System
(ReSAKSS) is a knowledge
management platform
Strategic analysis to inform policymakers
Knowledge management systems to ensure that
the strategic analysis and other relevant knowledge
products are translated into public goods
Capacity strengthening through support for
the country CAADP Roundtables,
establishment of country SAKSS
programs/nodes
Capacity Impact through SAKSS
Identify the capacity needs
Design strategic capacity strengthening activities
Establish a monitoring system
Evaluate the costs and benefits
Assess Impact of Capacity Development
Cost-effective - strategic indicators to track capacity impact
How to accomplish this – through SAKSS?
Broad Development Contexts for GRP
MDG approach to Capacity Development
World Food Summit Goals
Sectoral/Rural Development Strategies (IAC)
New Development Initiatives (NEPAD, Blair Commission)
World Trade Negotiations/Biotechnology
Institutional Development (e.g NARS)
What is Capacity?
Ability to perform functions necessary
for setting and meeting
goals/objectives
Policy-Enabling Environment
Individual* Organizational
* At the individual level, capacity is the sum total of
ability, motivation, attitude and incentive
Definition
“Capacity strengthening is the process by which individuals, groups, organizations, institutions, and societies increase their abilities to:
Perform core functions, solve problems, define and achieve objectives
Understand and deal with their developments in a broad context and in a sustainable manner.” (UNDP, 2000)
Capacity Strengthening as a Development Process
Rationale: Why development fails?
» Capacity is an essential element in the development process
» Capacity as a missing element
Green Revolution in Africa
Structural adjustments in Africa
Agricultural research systems in Africa
Challenges to Capacity Strengthening
Limited Resources to build capacity
Low levels of inherent capacity
Capacity erosion
Capacity utilization
Capacity transformation
Levels and impact
Paradigms of Capacity Development
Nation/State Building – Fukuyama; Levy
National Capacity for Governance – Dia; Grindle
Policy and Civil Society Reforms – Ul Haque & Aziz
Human Capital Development – Mashelkar; UNDP; Barro
Institutional Development- Isreal; Easterly
Historical Perspectives- Eicher; Chang
Supply/Demand Paradigm
Pathways from Development Goals to Development Outcomes
Developmen
t Goals
Capacity needs
Current Levels of
Capacity
Identifying Gaps
Capacity Development/ creation Capacity
Utilizatio
n
Capacity Monitoring
Capacity/ Impact Evaluation
Capacity
Maintenance/Retention
Developmen
t Outcomes
Capacity Assessment for SAKSS
Institutional mapping of existing capacity
Identify capacity gaps
Ex-ante analysis of benefits and costs of capacity
Guidance on where to invest and how?
Set up a monitoring and evaluation system to track capacity development
Assess impact of capacity development
Learning for Change
Capacity Development Cycle
Priority Setting
Implementation
Monitor progress
Impact on the ground
Evaluate/ assess impact
Revise & reformulate approach/ target group
Capacity Needs Assessment
Context Assessment
Organizational Assessment
Process Assessment
CREATING A PATHWAY FOR SAKSS!
Empowers CADDP countries to build and implement
functional SAKSS by providing:
1. Independent expertise – for strategic analysis and
Knowledge management
2. Capacity building
3. Credible information to policy makers, stakeholders, end
users and key opinion leaders for informed decision
making
4. Experts are policy researchers, analysts, economists
and policy advisors, policy makers
Agricultural System Capacity External environment
State of country development and other conditions
Legal and Policy support
•Resources
•Infrastructure
•Leadership
•Existing
agriculture-
related policies
•Information/
communication
systems
•Agriculture
sector planning
•Agriculture
policy making
•Resource
generation
•Donor
Coordination
•Multi-sector
collaboration
•Sector-wide
strategy
•Improved
human resource
availability
•Coordinated
donor
interventions
•Timely analysis
and
dissemination of
research results
•Effective
agricultural
policies
•Financial
self-reliance
•Meeting
client needs
•Effective
resource
allocation
•Effective
use of
information
Sustainabl
e
Agricultur
al Systems
Inputs Process Outputs
Outcomes
Mapping Capacity for SAKSS in the Countries Inputs Processes Outputs Outcomes
System level
Long – term commitment (for
example donor commitment)
Policy process is in place and
actors and players identified
National strategies and programs
Improved and informed
decision making based on
evidence
Organizational
level
Leadership and successful
management of the
organizations involved in the
SAKSS network
Recognition and strengthening
groups/organizations and
ensuring full involvement (
ministries, research,
universities, private sector, of
farmers with legal arrangements
Appropriate strengthening of
various capacities and units for
functional
Initial focus on simple activities;
inputs, technical support, joint
liability for credit
Promote local organizations that
provide additional services
(financial and market information
services)
Trust and Partnership with actors
and players in the policy process
Suitable partnerships, working
arrangements, improved systems
of planning, budgeting, policy
making, and monitoring and
evaluation
Collective action used for
achieving organizational
objectives (for example,
better prices for f farmers)
Group homogeneity
accomplished
Personnel /
Individual level
Number of staff related in each
professional category related to
SAKSS activities:
Strategic Analysis
Knowledge Management
Monitoring and Evaluation
Capacity strengthening
Provide training programs on
analytical and M & E skills for
SAKSS
Data collection, processing, and
analysis process
Policy analyst – policy maker
interaction
Capacity building of Individuals
(for example, increase in
bargaining power of smallholders
to negotiate better prices)
Increase in the number of
professionals in SAKSS activities
Policy analysts motivated to
address farmer needs
Improved feedback of
services from rural producer
organizations/ farmers to
extension agents and other
knowledge generators
Poorest individuals able to
participate in regional and
international l market /
exchanges
Capacity Strengthening Strategy – Key Needs
Capacity Needs Assessments
Institutional Capacity Reviews and Assessments
Capacity Measurements – Capacity Development Indicators
Capacity Strengthening Methods – What works and why?
Capacity Monitoring and Evaluation
Impact Assessment of Capacity Strengthening projects
INTERNATIONAL FOOD POLICY RESEARCH INSTITUTE Page 18
Food Policy Research Framework
Influence on
policies
Impact on
poor people
Research
Capacity
strengthening
Policy
communication
Partners, CGIAR,
stakeholders
Policymakers,
media, opinion
leaders, and
IFPRI
Engagement process
Evidenced Based
Planning
Implementation, M&E,
Peer Review
Building Alliances with
Investors
Programmes… Institutional arrangements
Policies, etc…
Improved Country
Programmes/ Investments
And Implementation
arrangements
Country Programmes…,
Institutions, PRSPs
SWAPs…
Pillar Input Pillar Input
Pillar Input Pillar Input
CAADP Country Level Implementation
Pillar Input
Pillar Input
Changing Policy Needs Scenario
Countries moving towards high value agriculture
Need for strengthening policy process for evidence-based policies
Productivity related policies
Climate change, environment and sustainability policies
Role of trade, market, and private sectors
Safety nets policies
Capacity Issues and challenges in Policy Process
Policy agenda setting for the government
Setting policy research priorities
Helping in policy design based on evidence
Policy implementation
Policy monitoring and evaluation
Policy revisions and refinements
A conceptual framework Policy research needs to be placed in the context of policy process – Capacity Value Chains
What types of policy processes exist?
What are the elements of the policy process?
How does research fit in the policy process?
How researchers and policy makers interact?
Where are the capacity gaps?
Linear Model of Policy Process
Source: Adopted from Porter and Hicks (1995)
Interactive Model of Policy Process
Policy Issues
Policy Agendas
Decision Stages
Policy
Characteristics
Arena of Debates and Dialogues
Policy Managers
Assess and Mobilize
Resources to Sustain
Reform
Policy Impact
Policy Outcome
Multiple Potential Outcomes
Policy Makers Assess and
Mobilize Resources to
Sustain Reform
Reject/Implement
Public Opinion/ Discussion
Source: Porter and Hicks (1995)
The Policy Research Cycle
1.
Identification of Problems
and Priorities
2.
Research Program
Development
3.
Research Study Design
4.
Data Collection, Processing,
and Analysis
5.
Preparation of Research Outputs and Publications
6.
Dissemination for Policy
Impact
Network of
collaborators in policy-
research and analysis
Linkages and alliances
with policy makers,
political leaders, and
parliamentarians
Collaboration with
stakeholders, NGOs,
CSOs, and media
Linkages with external
players, donor
community, and global
research community
Political, Organizational, Institutional, and Cultural Context
Broad Stages of Policy Process and the Role of PROs
Setting policy agenda
Policy analysis/ formulation
Policy decision making
Policy implementation
Policy monitoring/ Impact assessment
Policy revision/ correction
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Stages
of
Policy
Cycle
1
2
3
4
5
6
Global Agenda Setting
Regional Policy
Challenges
Country Level Policy
Priorities
Problem Identification
1
Content/
Ideas
Policy
Research/
Evidence
generation
2
Political Process Opportunities for Policy Influence External Factors International and Donor Influence
Global, regional, national policy
networks
Policy learning and diffusion
3
4
Institutional and Capacity
Strengthening and
Understanding /
Rational Choice by Policy
makers? 5
Strengthening Advocacy
Coalition of Policy makers,
Donors, Administrations
Advocacy organizations, NGOs,
CSOs
Competition among these
subsystems
6
Strengthening and mobilizing policy
entrepreneurships of actors &
players
Identify opportunities for policy
change
Look out for policy windows
7
Policy Agenda
Setting/ Policy
Decision
making,
Implementation
8
Solution Feedback?
Political, Administrative, Cultural
Context
Problem Feedback?
A Unifying Framework of Policy Process & the Role of
Research
, , , , , and are respectively the stages of Policy Research Cycle 1 2 3 4 5 6
Intensity of policy communications
+ + Linear Stage Heuristic Model of Policy Process
+ + + Interactive Country Concentration Model
+ + + + Multiple Stream Model
+ + + + Institutional Development and Rational Choice Model
+ + + + Policy Learning and Diffusion Model
+ + + + Policy Entrepreneurship Model ( Context, Content, Connectivity
+ + + Advocacy Coalition Model
+ + + + + + + Unifying Model of Policy Influence
Unifying Model of Policy Influence: Further Discussion
State of capacities for evidence- based policy making
Wide-ranging levels of capacity
Larger countries have more number (not necessarily quality for policy influence)
Most research capacity is academic
Policy capacity is limited
Existing capacity is not connected well to policy process
Quality of capacity leaves much to be desired.
What skills are needed to be effective in the policy process?
Thematic skills
Analytical skills
Research skills
Policy communication skills
Policy advocacy skills
Policy process skills
What capacity needed for evidence based policy making
Thematic capacity exists at all levels – high level of interaction with global systems
Some research capacity in think tanks and academic institutions
Analytical capacity needs improvement – Ministry of Food, Ministry of Agriculture, Ministry of health and Family Welfare
Project based capacity strengthening – at all levels – does not add up
Academic institutions –Agricultural universities, need capacity to build capacity
Limited connection of researchers to policy makers – policy communications and advocacy need strengthening
Research – Policy - Capacity Interactions
How do researchers understand the policy and political context?
How do researchers get to know the policy makers and actors?
How do researchers respond to demand?
Are they practical in their recommendations?
What is their strategy to establish their credibility?
What are the communications strategies?
How does the researcher and policy makers network to bring evidence to policy making?
Some Thoughts
Translation of évidence in to action?
Capacity Value Chain approach to set prioritize capacity strengthening for evidence based policy making
Research and analytical capacity need to be placed in the context of policy process
Understanding the various roles of institutions in the capacity building process
Understanding and address the disconnect between the policy research and policy making through capacity strengthening
Broad Questions
Practical Decision Making:
•What kind of capacity and where is it needed?
•How to develop capacity in a time and cost effective manner?
Broad Questions for Capacity Assessment
Identifying the “gaps” and key capacity needs. How have they evolved over time? How do the national and local institutions understand capacity gaps? What are the principal barriers to capacity development? What factors influence evolution of capacities? Where is capacity development necessary? Does enough capacity exists to meet development challenges? At which level should capacity strengthening activities be undertaken?
How do we Strengthen Capacity of National Systems?
How can government reforms be undertaken so as to meet the development goals?
How do we develop a core mass of policy analysts?
How does policy analysis capacity influence effectiveness of civil service?
How can we transfer institutional capacity smoothly?
What policy and approaches will cost and time effectively increase the capacity for development?
What environment & incentive factors contribute to enhancing impacts from capacity building?
How do we Strengthen Capacity at the National Level?
How to use regional and national networks for capacity development?
Has nation-building approach to capacity strengthening failed? Has it eroded local capacity?
How do we structure the conditionality of donors to create local capacity?
Approaches to Capacity Strengthening
Networking Approach
Individual Collaboration
Group Training Approach
Leadership Development
Policy Dialogue/Communication
Exchange visits
Institutional Development
Distance Education
Areas of Concentration for Capacity Strengthening
Food and Nutrition Policy
Markets and Trade Policy
Production and Environment Policy
Governance and Strategy Development
National Agricultural Research Systems
Clients and Stakeholders
Types of Institutions • National and regional research and
academic institutions • National governments • Self-governed networks • International organizations • Sub-national, municipal, and community
leaders • Graduate academic institutions • Tertiary, secondary and primary schools
Capacity Assessment Framework
Points of Entry : individual, Organization, Policy process
Core Issue:– Productivity increases; and Allocation of resources(leadership; policy and legal framework; mutual accountability mechanism; cross cutting issues ( human rights)
Functional Capacities
Capacity Development Strategy
Capacity for evidence-based policy analysis and strategy development
Capacity for Knowledge Management
Capacity for monitoring and evaluation
Capacity for communications
Capacity Assessment Method
Issues to be addressed
Assess existing capacity and determine future capacities
Creates a common language
Scale and scope of capacity assessment and development
Quantitative and qualitative data to support strategy and action plan
Conducting Capacity Assessment
Define desired future capacities -
Define the level
Assess existing capacity
What is the difference?
How to fill this gap?
What resources are needed?
What timeframe to fill the gaps?
How to monitor and evaluate the process?
Understanding
Authority and
accountability
Influence-network
mapping with selected
officials
“Net-Map” method by Eva
Schiffer (2007)
Mapping of actors, fund flows and influence
Donors
Ministry of
Finance
Regional
Coordinating
Council
Community
District
Assembly
Member Traditional
Chief Department of Food
& Agriculture
GIDA
District Assembly
District Tender
(Review) Board
District Chief
Executive
District
Monitoring
Team
Private
Companies /
Contractors
NGOs
Design Consultants
Supervising Consultants
Political
parties
Donor Consultants
?
10
10
7
6-10
4 1
0
8
10
8
0
0
Actual influence
on the quality of
dams (Scale 0-10)
x
Flow of funds
“Diversion” of funds
Accountability
formal
informal
Net-Map showing information flows and critical actors
Page 48
Lessons Learned
Sustainability of capacity depends on leadership
Bridge the gap between theory and practice
share the experiences in capacity strengthening
understand the institutional, resource and human capital constraints
Curriculum should be reviewed and revised
Establish enabling environment and institutions
Continuous dialogue between the researchers, trainers, and policymakers
Concluding Remarks
Capacity development is a long term continuous process
Individual, institutional and policy environment go hand in hand
Training alone is not enough
Knowledge management, participation, transparency are important to make impact
Strategic approach needed to capacity development, management, utilization and maintenance
Thank you
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