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

1.

2.

3.

4.

5.

6.

1.

2.

3.

4.

5.

6.

1.

2.

3.

4.

5.

6.

1.

2.

3.

4.

5.

6.

1.

2.

3.

4.

5.

6.

1.

2.

3.

4.

5.

6.

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