Capacity needs assessment nairobi re sakss-workshop-4-12-2012Presentation Transcript
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 SAKSSIdentify the capacity needsDesign strategic capacity strengtheningactivitiesEstablish a monitoring systemEvaluate the costs and benefitsAssess Impact of Capacity DevelopmentCost-effective - strategic indicators to trackcapacity impactHow to accomplish this – through SAKSS?
Broad Development Contexts for GRPMDG approach to Capacity DevelopmentWorld Food Summit GoalsSectoral/Rural Development Strategies(IAC)New Development Initiatives (NEPAD, BlairCommission)World Trade Negotiations/BiotechnologyInstitutional Development (e.g NARS)
What is Capacity? Policy-Enabling Environment Ability to perform functions necessary for setting and meetingOrganizational goals/objectives Individual* * 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 ProcessRationale: 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 StrengtheningLimited Resources to build capacityLow levels of inherent capacityCapacity erosionCapacity utilizationCapacity transformationLevels and impact
Paradigms of Capacity DevelopmentNation/State Building – Fukuyama; LevyNational Capacity for Governance – Dia; GrindlePolicy and Civil Society Reforms – Ul Haque & AzizHuman Capital Development – Mashelkar; UNDP; BarroInstitutional Development- Isreal; EasterlyHistorical Perspectives- Eicher; ChangSupply/Demand Paradigm
Pathways from Development Goals to Development Outcomes Current Levels of Developmen Capacity t Goals Capacity Maintenance/Retention Identifying Gaps Capacity needs Capacity Development/ creation Capacity Utilizatio n Capacity Monitoring Developmen Capacity/ Impact Evaluation t Outcomes
Capacity Assessment for SAKSSInstitutional mapping of existing capacityIdentify capacity gapsEx-ante analysis of benefits and costs ofcapacityGuidance on where to invest and how?Set up a monitoring and evaluation system totrack capacity developmentAssess impact of capacity developmentLearning for Change
Capacity Development Cycle Priority SettingRevise & reformulate Implementationapproach/ target group Evaluate/ assess impact Monitor progress Impact on the ground
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 management2. Capacity building3. Credible information to policy makers, stakeholders, end users and key opinion leaders for informed decision making4. Experts are policy researchers, analysts, economists and policy advisors, policy makers
Agricultural System CapacityExternal environment State of country development and other conditions Legal and Policy support Outcomes Outputs Process •Effective Inputs •Sector-wide agricultural•Resources •Agriculture policies strategy•Infrastructure sector planning •Financial •Improved•Leadership •Agriculture self-reliance human resource•Existing policy making •Meeting Sustainabl availability •Resource eagriculture- •Coordinated client needsrelated policies generation •Effective Agricultur donor•Information/ •Donor resource al Systems interventions Coordinationcommunication •Timely analysis allocationsystems •Multi-sector •Effective and collaboration use of dissemination of research results information
Mapping Capacity for SAKSS in the Countries Inputs Processes Outputs OutcomesSystem level Long – term commitment (for Policy process is in place and National strategies and programs Improved and informed example donor commitment) actors and players identified decision making based on evidenceOrganizational Leadership and successful Appropriate strengthening of Trust and Partnership with actors Collective action used forlevel management of the various capacities and units for and players in the policy process achieving organizational organizations involved in the functional objectives (for example, SAKSS network Suitable partnerships, working better prices for f farmers) Initial focus on simple activities; arrangements, improved systems Recognition and strengthening inputs, technical support, joint of planning, budgeting, policy Group homogeneity groups/organizations and liability for credit making, and monitoring and accomplished ensuring full involvement ( evaluation ministries, research, Promote local organizations that universities, private sector, of provide additional services farmers with legal arrangements (financial and market information services)Personnel / Number of staff related in each Provide training programs on Capacity building of Individuals Improved feedback ofIndividual level professional category related to analytical and M & E skills for (for example, increase in services from rural producer SAKSS activities: SAKSS bargaining power of smallholders organizations/ farmers to to negotiate better prices) extension agents and other Strategic Analysis Data collection, processing, and knowledge generators Knowledge Management analysis process Increase in the number of Monitoring and Evaluation professionals in SAKSS activities Poorest individuals able to Capacity strengthening Policy analyst – policy maker participate in regional and interaction Policy analysts motivated to international l market / address farmer needs exchanges
Capacity Strengthening Strategy – Key NeedsCapacity Needs AssessmentsInstitutional Capacity Reviews and AssessmentsCapacity Measurements – CapacityDevelopment IndicatorsCapacity Strengthening Methods – What worksand why?Capacity Monitoring and EvaluationImpact Assessment of Capacity Strengtheningprojects
Food Policy Research Framework Partners, CGIAR, Influence on Research policies stakeholders Capacity strengthening Policymakers, Policy media, opinion leaders, and Impact on communication poor people IFPRIINTERNATIONAL FOOD POLICY RESEARCH INSTITUTE Page 18
CAADP Country Level Implementation Pillar Input Pillar Input Pillar Input Engagement Evidenced process Based Planning Improved Country Programmes… CountryProgrammes…, Institutional arrangements Programmes/ Institutions, Policies, etc… Investments PRSPs And SWAPs… Building Implementation, Implementation Alliances with M&E, arrangements Investors Peer Review Pillar Input Pillar Input Pillar Input
Changing Policy Needs ScenarioCountries moving towards high valueagricultureNeed for strengthening policy process forevidence-based policiesProductivity related policiesClimate change, environment andsustainability policiesRole of trade, market, and private sectorsSafety 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 frameworkPolicy research needs to be placed in thecontext of policy process – Capacity ValueChainsWhat types of policy processes exist?What are the elements of the policyprocess?How does research fit in the policy process?How researchers and policy makersinteract?Where are the capacity gaps?
Linear Model of Policy ProcessSource: Adopted from Porter and Hicks (1995)
Interactive Model of Policy Process Policy Issues Policy Agendas Decision Stages Policy Characteristics Arena of Debates and Dialogues Public Opinion/ Discussion Policy Outcome Reject/Implement Policy Impact Policy Makers Assess and Policy Managers Mobilize Resources to Assess and Mobilize Sustain Reform Resources to Sustain Reform Multiple Potential OutcomesSource: Porter and Hicks (1995)
The Policy Research Cycle Network of Linkages and alliancescollaborators in policy- 1. with policy makers, research and analysis Identification political leaders, and of Problems and Priorities parliamentarians 6. 2. Dissemination Research for Policy Program Impact Development 5. Preparation 3. of Research Research Outputs and Study Design Publications 4. Data Collection, Processing, Collaboration with and Analysis Linkages with external stakeholders, NGOs, players, donor CSOs, and media community, and global research community Political, Organizational, Institutional, and Cultural Context
Broad Stages of Policy Process and the Role of PROs 1. 6. 2. 5. 3. 4. 1. 1. 6. 2. 6. 2. Setting policy agenda 5. 3. 5. 3. 4. 4. Policy revision/ Policy analysis/ correction formulation Stages of Policy Policy monitoring/ Cycle Policy decision Impact assessment making 1. Policy implementation 1. 6. 2. 6. 2. 5. 3. 5. 3. 4. 1. 4. 6. 2. 5. 3. 4.
A Unifying Framework of Policy Process & the Role of Global Agenda Setting Regional Policy Problem Feedback? Research Challenges Country Level Policy 1 Priorities Global, regional, national policy Problem Identification networks Policy learning and diffusion 4 Strengthening and mobilizing policy entrepreneurships of actors & players 1 Identify opportunities for policy change Look out for policy windows Policy Agenda Setting/ Policy Decision6 Content/ 2 7 making, Implementation Ideas Policy 8 Research/ Evidence5 generation 3 Strengthening Advocacy 4 Institutional and Capacity Strengthening and Understanding / Coalition of Policy makers, Donors, Administrations Advocacy organizations, NGOs, 2 CSOs Rational Choice by Policy Competition among these makers? 5 subsystems 6Political ProcessOpportunities for 3Policy InfluenceExternal Factors Solution Feedback?International andDonor Influence Political, Administrative, Cultural Context
Unifying Model of Policy Influence: Further Discussion1 , 2 , 3 , 4 , 5 , and 6 are respectively the stages of Policy Research Cycle 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
State of capacities for evidence- based policy makingWide-ranging levels of capacityLarger countries have more number(not necessarily quality for policyinfluence) Most research capacity is academicPolicy capacity is limitedExisting capacity is not connectedwell to policy processQuality of capacity leaves much tobe 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 makingThematic capacity exists at all levels – high level ofinteraction with global systemsSome research capacity in think tanks and academicinstitutionsAnalytical capacity needs improvement – Ministry of Food,Ministry of Agriculture, Ministry of health and FamilyWelfareProject based capacity strengthening – at all levels – doesnot add upAcademic institutions –Agricultural universities, needcapacity to build capacityLimited connection of researchers to policy makers – policycommunications and advocacy need strengthening
Research – Policy - Capacity InteractionsHow do researchers understand the policy and politicalcontext?How do researchers get to know the policy makers andactors?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 tobring evidence to policy making?
Some ThoughtsTranslation of évidence in to action?Capacity Value Chain approach to set prioritizecapacity strengthening for evidence based policymakingResearch and analytical capacity need to be placedin the context of policy processUnderstanding the various roles of institutions inthe capacity building processUnderstanding and address the disconnect betweenthe policy research and policy making throughcapacity strengthening
Broad QuestionsPractical 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 AssessmentIdentifying the “gaps” and key capacity needs. Howhave they evolved over time?How do the national and local institutionsunderstand capacity gaps?What are the principal barriers to capacitydevelopment?What factors influence evolution of capacities?Where is capacity development necessary?Does enough capacity exists to meet developmentchallenges?At which level should capacity strengtheningactivities 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 networksfor capacity development?Has nation-building approach to capacitystrengthening failed? Has it eroded localcapacity?How do we structure the conditionality ofdonors to create local capacity?
Approaches to Capacity StrengtheningNetworking ApproachIndividual CollaborationGroup Training ApproachLeadership DevelopmentPolicy Dialogue/CommunicationExchange visitsInstitutional DevelopmentDistance 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 StakeholdersTypes 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 Development StrategyCapacity for evidence-based policyanalysis and strategy developmentCapacity for KnowledgeManagementCapacity for monitoring andevaluationCapacity for communications
Capacity Assessment MethodIssues to be addressedAssess existing capacity and determinefuture capacitiesCreates a common languageScale and scope of capacity assessment anddevelopmentQuantitative and qualitative data to supportstrategy and action plan
Conducting Capacity AssessmentDefine desired future capacities -Define the levelAssess existing capacityWhat 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?
UnderstandingAuthority andaccountabilityInfluence-networkmapping with selectedofficials “Net-Map” method by Eva Schiffer (2007)
Mapping of actors, fund flows and influence 0 Ministry of Finance 8 Donors Regional 6-10 Coordinating District Chief Donor Consultants Council 0 Executive Community 0 District AssemblyPoliticalparties District Monitoring District Team Assembly Traditional Department of Food Member Chief 4 1 & Agriculture 8 7 District Tender NGOs ? GIDA (Review) Board 10 Accountability formal 10 informal Private Flow of funds Companies / “Diversion” of funds Design Consultants Contractors Supervising Consultants 10 Actual influence x on the quality of dams (Scale 0-10)
Net-Map showing information flows and critical actors
Lessons LearnedSustainability of capacity depends onleadershipBridge the gap between theory and practiceshare the experiences in capacitystrengtheningunderstand the institutional, resource andhuman capital constraintsCurriculum should be reviewed and revisedEstablish enabling environment andinstitutionsContinuous dialogue between theresearchers, trainers, and policymakers Page 48
Concluding RemarksCapacity development is a long termcontinuous processIndividual, institutional and policyenvironment go hand in handTraining alone is not enoughKnowledge management, participation,transparency are important to make impactStrategic approach needed to capacitydevelopment, management, utilization andmaintenance