Capacity needs assessment nairobi re sakss-workshop-4-12-2012
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This document discusses capacity needs assessment and strengthening for evidence-based agricultural policymaking. It provides an overview of capacity at the individual, organizational, and systemic levels. A framework is presented that maps the policy process and where research can inform it. The document also outlines approaches for conducting capacity assessments and developing capacity strengthening strategies. Key questions are raised around strengthening national capacity systems and assessing capacity needs at different levels.
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Capacity needs assessment nairobi re sakss-workshop-4-12-2012
- 1. Capacity Needs Assessment Suresh Babu ReSAKSS Workshop, Nairobi, April 12,2012
- 2. 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
- 3. 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?
- 4. 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)
- 5. What is Capacity? Policy-Enabling Environment Ability to perform functions necessary for setting and meeting Organizational goals/objectives Individual* * At the individual level, capacity is the sum total of ability, motivation, attitude and incentive
- 6. 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)
- 7. 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
- 8. Challenges to Capacity Strengthening Limited Resources to build capacity Low levels of inherent capacity Capacity erosion Capacity utilization Capacity transformation Levels and impact
- 9. 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
- 10. 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
- 11. 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
- 12. Capacity Development Cycle Priority Setting Revise & reformulate Implementation approach/ target group Evaluate/ assess impact Monitor progress Impact on the ground
- 13. Capacity Needs Assessment Context Assessment Organizational Assessment Process Assessment
- 14. 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
- 15. Agricultural System Capacity External 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 e agriculture- •Coordinated client needs related policies generation •Effective Agricultur donor •Information/ •Donor resource al Systems interventions Coordination communication •Timely analysis allocation systems •Multi-sector •Effective and collaboration use of dissemination of research results information
- 16. Mapping Capacity for SAKSS in the Countries Inputs Processes Outputs Outcomes System 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 evidence Organizational Leadership and successful Appropriate strengthening of Trust and Partnership with actors Collective action used for level 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 of Individual 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
- 17. 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
- 18. Food Policy Research Framework Partners, CGIAR, Influence on Research policies stakeholders Capacity strengthening Policymakers, Policy media, opinion leaders, and Impact on communication poor people IFPRI INTERNATIONAL FOOD POLICY RESEARCH INSTITUTE Page 18
- 19. CAADP Country Level Implementation Pillar Input Pillar Input Pillar Input Engagement Evidenced process Based Planning Improved Country Programmes… Country Programmes…, 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
- 20. 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
- 21. 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
- 22. 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?
- 23. Linear Model of Policy Process Source: Adopted from Porter and Hicks (1995)
- 24. 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 Outcomes Source: Porter and Hicks (1995)
- 25. The Policy Research Cycle Network of Linkages and alliances collaborators 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
- 26. 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.
- 27. 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 Decision 6 Content/ 2 7 making, Implementation Ideas Policy 8 Research/ Evidence 5 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 6 Political Process Opportunities for 3 Policy Influence External Factors Solution Feedback? International and Donor Influence Political, Administrative, Cultural Context
- 28. Unifying Model of Policy Influence: Further Discussion 1 , 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
- 29. 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.
- 30. 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
- 31. 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
- 32. 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?
- 33. 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
- 34. 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?
- 35. 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?
- 36. 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?
- 37. 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?
- 38. Approaches to Capacity Strengthening Networking Approach Individual Collaboration Group Training Approach Leadership Development Policy Dialogue/Communication Exchange visits Institutional Development Distance Education
- 39. 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
- 40. 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
- 41. 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
- 42. Capacity Development Strategy Capacity for evidence-based policy analysis and strategy development Capacity for Knowledge Management Capacity for monitoring and evaluation Capacity for communications
- 43. 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
- 44. 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?
- 45. Understanding Authority and accountability Influence-network mapping with selected officials “Net-Map” method by Eva Schiffer (2007)
- 46. 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 Assembly Political parties 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)
- 47. Net-Map showing information flows and critical actors
- 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 Page 48
- 49. 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
- 50. Thank you