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Implementing a results framework for capacity development


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The Turin 2009 Learning Link

Session 3.3. Presntation by WBI

Day 3 - December 9

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Implementing a results framework for capacity development

  1. 1. Implementing a Results Framework for Capacity Development December 9, 2009 Jenny Gold, Program Officer, Capacity Development & Results, WBI 1 Session Overview A discussion around: WBI’s Capacity Development Results Framework or CDRF Example from WBI’s work Discuss the road map to apply, adapt and customize the framework and ways it can be used by practitioners Experiences of WBI related to the application its results framework Why this session? Expanded discussion and understanding around the opportunities related to the application of a results framework on the ground -- focusing on improving results management practices of institutions in the South and identifying and developing needed resources to guide practice 2
  2. 2. Why a Results Framework Guide capacity needs assessments & identify capacity constraints Engage stakeholders in the entire program cycle & ensure local ownership Define capacity development strategies to apply at community, regional, or country levels Build indicators into program design to track progress &, when necessary, adjust program for improved adaptive management Assess program results achieved, as well as results- orientation of program design & actual implementation Communicate meaningful results to stakeholders, other practitioners & donors Compare programs over time to determine what does & does not work and adaptively manage practice 4 Introduction to WBI’s Capacity Development and Results Work WBI has developed the capacity development results framework or CDRF – a key resource that is being implemented in the World Bank and translated into practice WBI’s growing practice in this area includes programs to Develop, identify, pilot and share innovations, and good practices related to capacity development and the management of its results Work with regional capacity development institutions to develop and test innovative tools and approaches Exchange knowledge with strategic external partners on capacity development concepts, strategies and practices More application, adaption and customization of the framework for on the ground practice 5
  3. 3. Key Questions 1. Could you suggest concrete ways to expand or further develop the practical application of the capacity development results framework? 2. What might be needed resources to guide practice? 6 Capacity Development Results Framework or CDRF What is the framework? Main elements: Brings together good A development goal that the capacity development contributes practice to provide a to results-oriented approach Typology of capacity factors to help guide and improve with categories of capacity capacity development indicators practice Capacity development objectives that relate to capacity Links program activities to factors changes in capacity Typology of intermediate toward the achievement of outcomes or learning outcomes a development goal Identified change agents, e.g., local groups or organizations, and Flexible resource for use a process of how agents can in different contexts drive change Supporting partners and 7 stakeholders
  4. 4. CDRF Elements and How They Connect in a Program toward the development  goal Capacity   factors who influence  relevant capacity  factors  to empower change  agents Intermediate  outcomes or learning  outcomes can be  tracked Through capacity  development activities 8 8 Questions for Program Teams to Design a Program using the CDRF What is the program’s goal? What capacity factors does the program intend to address or change? Related to sociopolitical environment, policy instruments, and/or organizational arrangements? What is the program’s theory of change? With/through which change agents? What change process? What are key complementary factors/actors? What intermediate or learning outcomes will be needed for success? Through which activities? All along, how will you monitor results? 9 9
  5. 5. Capacity Factors Capacity factors are sociopolitical, policy and organizational related. In a capacity development program capacity factors are a resource to adapt to your context and use to: Assess capacity needs related to specific challenges and opportunities identify priority capacity needs that can be changed by the program, i.e., areas where you can achieve results Identify specific indicators (at the impact or capacity level) Guide you in preparing your program’s capacity development objectives 10 Types of Capacity Factors – What Factors Need to Change for Results? Capacity Factor Issue Definition Sociopolitical How conducive is it . . . comprises political & social Environment to achieving forces that determine the priority development goals? that government, civil society, & the private sector give to specific development goals Policy How efficient are . . . are administrative rules, laws, Instruments they in guiding regulations, standards, & other stakeholders’ formal incentives that a society behavior to achieving uses to guide stakeholder actions to the goals? achieve its development goals Organizational How effective are . . . are systems, rules of action, Arrangements they in achieving the processes, personnel & other goals? resources that state & non-state stakeholders bring together to achieve development goals 11
  6. 6. Measuring Results in terms of Capacity Capacity to Achieve a Given Development Goal (DG) Indicators of a Conducive Indicators of Efficient Indicators of Effective Sociopolitical Environment for a Policy Instruments for a given DG Organizational Arrangements given DG for a Given DG • Clarity of the policy instrument in defining • Commitment of leaders to the DG & the related rights & responsibilities of • Clarity of mission with DG stakeholders respect to the DG • Consistency of policy instrument defining • Compatibility of the DG with the DG with policy instruments for other DGs • Achievement of outcomes social norms & values that lead directly to attainment • Legitimacy of the policy instrument of the DG • Stakeholder participation in • Incentives for compliance provided by the decisions about the DG policy instrument • Operational efficiency • Stakeholder voice in decisions • Administrative ease of policy instrument • Financial viability & probity implementation about the DG • Freedom of policy instrument from • Supportiveness of • Accountability of service unintended negative consequences stakeholders providers for achieving the DG • Flexibility of the policy instrument in • Adaptability in anticipating & addressing varying DG situations • Transparency of information to responding to change stakeholders about the DG • Resistance of policy instrument to corruption, rent seeking, & regulatory capture 12 12 Example – IGAD, East Africa Increase capacities of CSOs to engage in conflict prevention work at all levels, including in early response, to prevent, de-escalate or resolve pastoral and related conflicts in each country across Eastern Africa region. Sociopolitical related Policy related Organizational related Capacity factor: Commitment of traditional, civil society and political Capacity factor: Clarity of the Capacity factor: Operational efficiency leaders to put in place local capabilities policy instruments for early warning of early-warning institutional structures to deal with cross border pastoral and response in areas of cross border other conflicts conflict Related challenge: Need to strengthen local institutions involved in Related challenge: Need for multi- Related challenge: Need for early warning and their coordination stakeholder leadership commitment agreement on clear local level with systems for information-gathering among local stakeholder groups to mechanisms to guide response to and analysis stabilize land management in pastoral early warning signs areas Change process and agents of Change process and agents of change: Change process and agents of change : change: The activities will improve local The activities will strengthen civil society The activities will transform the behavior of stakeholder awareness and skills at a and community organizations by developing the leaders and their commitment to come high level to support the development of a Rapid Response Fund to support their together as a group to develop conflicted needed policy responses, and a regional achievement of conflict prevention and responses effort to implement a common policy resolution initiatives in decentralized local framework communities Examples of intermediate outcomes Examples of intermediate outcomes Examples of intermediate outcomes 1. Greater willingness of local leaders to deal 1. Better understanding of the issues at a 1. Creation of new locally managed grant with conflicts in a planned and systematic high level making mechanism to support local manner 2. Enhanced skills of local partners on institutions 2. Better collaboration among traditional early warning response management 2. Increased awareness of stakeholders leaders, civil society, governments, and inter- 3. Improved collaboration to advance a working on conflicts management governmental organizations framework to monitor and manage 2. Updated processes established 3. Creation of a common platform for conflicts stakeholder action Courses for Training Training of IGAD Training of local Consultations governme staff and Peer-peer knowledge partners working with multi- Awareness nt officials Pilot case representatives in 13 stakeholder raising session exchange among local on grants grant monitoring studies leaders with leaders partners in each country and reporting
  7. 7. Discussion – Capacity Factors • Could you think of 1-2 concrete suggestions to develop specific indicators and measures for the different types and categories of capacity factors in the framework? – With the person beside you … – Review the different types of sociopolitical, policy and organizational related capacity factors – Think of new and innovative approaches or good practices from your experience • 5 min. Use the handout to guide your thinking 14 What Intermediate Outcomes are Needed for Results? Learning Outcomes • Raised awareness Altered • Enhanced skills status • Improved consensus & teamwork Altered processes • Fostered coalitions & networks • Formulated policies & strategies New products • Implemented strategies & plans & services 15
  8. 8. Example – Chamber of Commerce, Ethiopia Improve business partnership in the development of procedures and standards for private enterprise creation, investment, and operations Sociopolitical related Policy related Organizational related Capacity factor: Flexibility of Capacity factor: Operational efficiency Capacity factor: Participation of procedures, standards and codes in of business support structures stakeholders in decisions about reform addressing changing business development needs Related challenge: Need to strengthen Related challenge: Need to expand new business network organization – participation of business in policy Related challenge: Need to revise challenges due to fragmentation in the dialogue and decision-making processes and modernize, existing policies that structures that it unites as well as related to emerging reform issues constrain business growth and inefficiency in systems for oversight, innovation, and information sharing investment Change process and agents of Change process and agents of Change process and agents of change : change: The activities will change the change: The activities will change how business behavior of business leaders and The activities will change how the leaders and government stakeholders interact companies, and government and business support structures interact and and dialogue for decision-making. business managed processes related to skills and processes to raise the company registration. standards of their services. Examples of intermediate outcomes Examples of intermediate outcomes Examples of intermediate outcomes 1. More understanding on business role and 1. Improved understanding on process of 1. Enhanced skills to upgrade business needs on reform issues registering companies and skills to support services and systems 2. More confidence and motivation among implement 2. More collaboration on systems business leaders to engage with government 2. Revised registration process development across business support 3. Collaboration with government and civil established and in use structures society expanded 2. Updated processes established Peer –peer Awarenes Technical dialogue Training Training in assistance and Private/public s session workshops management, resource inputs Training in public Stakeholder meetings to update internal 16 speaking, on reform accounting , other Resource inputs to update system processes issues Workshops Intermediate Outcomes for Capacity Development Learning Outcomes Generic Learning Objectives • Participant understanding of an issue or situation improved • Participant attitude improved 1. Raised awareness • Participant confidence improved Altered status • Participant motivation improved • New skills/knowledge acquired 2. Enhanced skills • New skills/knowledge applied • Discussion initiated/resumed/activated • Participatory process initiated/expanded 3. Improved • Consensus reached Altered consensus/teamwork • • Action steps/plan formulated/improved Collaboration increased/improved processes • Discussion initiated/resumed/activated 4. Fostered • Participatory process initiated/improved • Informal network(s) created/expanded coalitions/networks • Formal partnerships or coalitions created/expanded • Stakeholders involved in process • Policy/strategy needs assessment completed 5. Formulated policy/ • Stakeholder agreement reached • Action steps/plan formulated New products strategy • • Monitoring and evaluation plan designed Policy/reform/strategy/law proposed to decision-makers & services • Implementation steps formulated • Monitoring and evaluation initiated 6. Implemented strategy/plan • Implementation steps initiated • Implementation know-how improved
  9. 9. Discussion – Intermediate Outcomes • Could you think of 1-2 concrete suggestions to develop specific indicators and measures for the intermediate outcomes in the framework? – With the person beside you … – review the different types of learning outcomes , such as new behaviors, interactions, products or services. – Think of new and innovative approaches or good practices from your experience, particularly for more difficult to measure outcomes, such as related to consensus building or network creation • 5 min. Use the handout to guide your thinking 18 What is the Relationship between your Programs and the CDRF? Programmatic Approach Integral CDRF An institution's capacity CDRF offers a method to development activities – or determine the optimal building blocks – arranged, arrangement of the building adapted and customized to blocks needed to meet the flexibly fit the diverse needs of goals of different programs local agents and stakeholders to achieve results Change dge Knowle s; n ge manageme exchan on t, multi- ti innova s r m stakeholde platfor leadership -peer Peer-to action g, learnin rks Struct ured netwo g learnin 19
  10. 10. Why a Roadmap? One application of the framework Iterative steps for project team to apply, adapt and customize the CDRF, including key good practices for capacity development Adapt to context and needs – such as to Engage stakeholders in project cycle Build project-level indicators for capacity development Conduct a capacity needs assessment, or Guide project planning, design or strategy development Application would allow programs to identify, manage, communicate, and compare the results of capacity development work 20 Practice Example -- Roadmap to Apply, Adapt and Customize the Framework 1 Validate the development goal for the capacity development with 6 stakeholders 2 Identify intermediate Assess the capacity outcomes and factors in the specific indicators context Basis for Results- oriented capacity 5. development work Describe the change 3 agents and the Decide which expected capacity factors are a process by priority & can be which change changed by the work will happen 4 Specify the capacity development objectives 21
  11. 11. Examples of Ongoing Program Work Global/ East Africa - Case studies: Africa – African Capacity Building WBI is using the framework as a Foundation resource to document capacity Joint work to develop a results development practices and learn framework for ACBF projects, from the experiences of different including tools for retrofitting and programs – case studies of M&E as well as a possible pilot programs in East Africa – case activity to implement the framework. studies of World Bank programs Launched in Oct. 2009 through a (early 2010) workout session with ACBF’s China - Ministry of Finance’s Training operational staff. Center India - WBI Urban program Using the CDRF to apply a results Work with WBI’s urban practice orientation to MOF programs. and partners in India to use the Starting Dec. 2009, WBI will work framework to guide a capacity with the Training Center and its assessment and to develop results- training network associated with oriented programs. The results are the provincial bureaus. It will also expected to contribute to ASCI assess a possible pilot to 22 programs and a national urban implement the framework. renewal initiative(ongoing in 2010) Key Questions 1. Could you suggest 1-2 concrete ways to expand or further develop the practical application of the capacity development results framework? 2. What might be needed resources to guide practice? – With the person beside you … • 5 min. 23
  12. 12. More resources to come: • Case studies • Indicators • Pilot examples • Practical toolkits Your idea to develop online tools and resources: Contribute to a newly created wiki: A dynamic web page where practitioners and partners can build a glossary to consolidate varying definitions for terms and concepts in capacity development. 26