80722 Consultations in Results-Focused Capacity Development Reviews of Project Experiences in East Africa Using the Capacity Development and Results Framework About the World Bank Institute (WBI) WBI’s mission is to be a global facilitator of capacity development for poverty reduction, helping leaders, institutions, and coalitions address their capacity constraints to achieving development results. For more information, visit www.worldbank.org/wbi. About the WBI Capacity Development and Results Practice (WBICR) WBICR provides advisory services, knowledge products, action research and knowledge sharing that inform and support the design and management of results-focused capacity development strategies, policies and programs. For more information, email capacity4change@worldbank.org. Published April 2011 Consultations in Results-Focused Capacity Development Reviews of Project Experiences in East Africa Using the Capacity Development and Results Framework World Bank Institute Capacity Development and Results Practice Copyright © 2011 The World Bank 1818 H Street, N.W. Washington, D.C. 20433, USA All rights reserved The World Bank Institute Capacity Development and Results Practice prepared this report. Jenny Gold, Kebour Ghenna and Sharon Fisher led the report team. The team collaborated with Teferi Asfaw, Addis Ababa Chamber of Commerce and Sectoral Associations; Abdirashid A. Warsame, Conflict Early Warning and Response Mechanism of the Intergovernmental Authority on Development; and Mohamed Gelma, Non-State Actor Coalition. Samuel Otoo provided overall guidance. The team also received valuable inputs from Natalia Agapitova and Dawn Roberts. Design: Sharon Fisher, The World Bank Institute Cover Photos from Far Left: Arne Hoel/The World Bank; Clive Chilvers; Ray Witlin/The World Bank. Photo on page 19 by Scott Wallace/The World Bank. Contents Acronyms and Abbreviations . ................................................................................................ v Introduction ............................................................................................................................. vii Overview Capacity Development ............................................................................................................. ix Capacity Development and Results Framework . .................................................................... x Project Experiences . ................................................................................................................. xi Summary of Lessons Learned .............................................................................................. xiii Project Review 1 Enhancing Multi-Stakeholder Engagement for Institutional Change—The Conflict Early Warning and Response Mechanism of the Intergovernmental Authority on Development . ....................................................................................................................... 1 Project Review 2 Developing Stakeholder Participation, Incentives and Organizational Support for Private Sector Reforms—Addis Ababa Chamber of Commerce and Sectoral Associations ........................................................................................................ 11 Project Review 3 Coalition Building To Enhance the Role of Non State in Development Strategies and Programs—Non-State Partnership Under the Cotonou Agreement .................................. 21 Appendices 1—Overview of Capacity Development Process ................................................................... 31 2—Outline for Participatory Review of Capacity Development Projects . ........................... 33 3—Preliminary Consultations on the Project Experiences . .................................................. 35 Acronyms and Abbreviations AACCSA Addis Ababa Chamber of Commerce and Sectoral Associations ACP African, Caribbean and Pacific ADA Austrian Development Agency AU African Union CDRF Capacity Development and Results Framework CEWARN Conflict Early Warning and Response Mechanism CEWERU Conflict Early Warning and Response Unit CPA Cotonou Partnership Agreement CPMR Conflict, Prevention, Management and Resolution CSO Civil Society Organization CTF Cotonou Task Force DFID United Kingdom Department for International Development EC European Committee EU European Union GTZ German Society for Technical Cooperation IGAD Intergovernmental Authority on Development MDG Millennium Development Goal M&E Monitoring and Evaluation NGO Non-Governmental Organization NSA Non-State Actor NSAC Non-State Actor Coalition PANE Poverty Action Network of civil society in Ethiopia PSD Private Sector Development REC Regional Economic Community RRF Rapid Response Fund SIDA Swedish International Development Agency UNDP United Nations Development Programme UNHCR United Nations High Commissioner for Refugees UNICEF United Nations Children’s Fund USAID United States Agency for International Development WBI World Bank Institute acronyms and abbreviations v vi Consultations in results-focused capacity development Introduction Capacity is often seen to be the principal constraint to development, and each year aid donors spend more than $30 billion globally to address this issue. However, most capacity development efforts fail to yield satisfactory results. Important deficiencies include low stakeholder commitment to development goals; weak understanding of institutional capacities and how they need to change to support these goals; lack of strategy around what results to support and how; poor planning of activities to support local agents in driving change; inadequate attention to needed adjustments of change processes; and not learning from previous successes and mistakes. These deficiencies necessitate fundamental changes in how capacity development is defined and practiced. Capacity development means enhancing the ability of local leaders, groups and coalitions to effect institutional change. It entails understanding both the demand and supply sides of the development process. Effective capacity development needs to not just support new learning—it needs to support outcomes that contribute to institutional change. This calls for changes in how stakeholders are engaged; how we assess and understand institutional capacities; how we design capacity development programs and activities; how we plan, yet adjust local activities to best support change; and how we document and manage knowledge to learn about what works. In response to such challenges, the World Bank Institute (WBI) developed an innovative, results-focused approach to capacity development and a suite of platforms covering leadership and coalition building, innovation scanning, practitioner knowledge exchange and structured learning. This report describes how WBI used its results-focused approach, the Capacity Development and Results Framework (CDRF), to conduct participatory reviews of three capacity development projects in East Africa. The projects had distinct goals: promote peace and security in border areas of the region; promote economic development and growth in Ethiopia; and improve the emergence of an active and organized non-state sector in development dialogue. WBI worked with local partners to review and document the projects. Through the participatory reviews, WBI learned how to better work with local partners in supporting efforts to apply results-focused approaches. The local partners learned how the application of results-focused tools, locally adapted to their context, could help a project achieve the most needed results. Development practitioners and local partners can apply the lessons learned from these reviews to help improve the design and implementation of their own capacity development programs. introduction vii viii Consultations in results-focused capacity development Overview Capacity Development Elements for Success Traditional capacity development is shifting from a focus on individual skills and organizational systems to entire leadership teams, multi-stakeholder coalitions and social networks to forge consensus for measurable and lasting change. WBI views capacity development as a transformational and country-led process of change to facilitate achievement of development results. Capacity development initiatives should develop capacity in the main societal pillars—government, private sector and civil society— to advance institutional change. To mobilize the most effective capacity development responses it is crucial to understand the stakeholders in these groups from the start. Comprehensive diagnostics are needed to assess stakeholder interests and commitment to development goals and pinpoint institutional capacity constraints and priorities. Findings from these diagnoses can help to produce focused yet adjustable plans, suited to different settings, which achieve the most needed results. Current Challenges Despite significant funding for capacity development initiatives, current practice is not meeting needed results. Applied learning is urgently needed around the practice and scaling up of sustainable capacity development. The lack of operational clarity among partners on capacity development makes it difficult to effectively design and manage capacity development processes. Among priority for learning is practical know-how on addressing challenges related to the broader institutional environment—challenges that constrain stakeholder action to achieve development goals. Focus on Outcomes For too long, capacity development analysis has focused on the outputs and planning of activities—simply filling in pre-identified gaps for missing functions and skills based on imported or historic solutions. For real institutional change to occur, the management of change and design of capacity development activities must address not what is missing, but what is needed. Focusing on outcomes instead of outputs and technical fixes allows for more innovative and context-specific solutions to achieve local results and measure and track change processes. Without built-in opportunities for local innovation and evidence of systematic learning, it is difficult for local actors, donors and other stakeholders to demonstrate the viability and value of capacity development initiatives. Thus, there is growing accord in the development community on the importance of results orientation and effective management of change processes to improve how capacity development is practiced. overview ix Capacity Development and Results Framework Purpose WBI developed the Capacity Development and Results Framework (CDRF) as a knowledge base for a growing suite of results-focused tools and resources. The CDRF clarifies the conceptual foundation for the strategic use and design of knowledge and learning products and services. It provides an operational approach to analyze the dynamics of institutional change and the role of learning in facilitating that change. So change processes can be better managed, the CDRF articulates a results chain that highlights the intermediate capacity outcomes bridging the gap often found between overall objectives and specific capacity development activities. It introduces standardized sets of indicators to monitor progress, allow comparisons across programs, improve understanding of how institutional change occurs, and support systematic examination of the effectiveness of capacity development tools. Uses Practitioners can use the CDRF for institutional capacity diagnostics, to understand underlying demand and supply side constraints that need to be targeted to achieve results. They can assess the degree to which capacity development can strengthen stakeholder ownership, improve efficiency of policy instruments and increase the effectiveness of organizational arrangements toward the achievement of a development goal. The CDRF’s indicators for institutional characteristics can be used to diagnose institutional capacity constraints and assess institutional changes. The CDRF also offers a typology of intermediate capacity outcomes to track changes in behaviors, relationships, processes and actions and target capacity development activities. For more details, see Annex 1. Practitioners can use the CDRF to support participatory management of capacity development programs and change processes. They can customize and add local knowledge to implement the CDRF and thus support a wide range of country capacity development practices. Practitioners can also use the CDRF to guide participatory reviews of capacity development projects, such as those described in this report. Collaboration The CDRF promotes a collaborative process, by encouraging discussion around local capacity constraints, needed results, appropriate change processes and local agents to support change. It encourages partners and stakeholders to be involved for the entire project cycle: visioning; assessment and diagnosis; program and results design; implementation and monitoring of change; and evaluation and learning. Through knowledge exchange and collaborative work with country and international partners and World Bank teams, WBI expands operational learning on capacity develop- ment strategies and practice for the local context. With this information, WBI is developing results-oriented tools that partners can apply, adapt, and customize to their own needs. x Consultations in results-focused capacity development Project Experiences Objectives of Participatory Reviews WBI and local partners conducted participatory reviews of three capacity development projects in East Africa using the CDRF to guide the process. WBI intended to learn how results-focused capacity development could support improved practices. Local partners intended to develop a better understanding of how to carry out capacity development programs that effectively use limited resources to achieve results. The objectives of the participatory reviews were to: • Build recommendations to help improve the results focus of the local projects. • Expand learning about locally appropriate results-focused knowledge and tools and how they could be adapted or applied to support capacity development practice. • Document lessons learned on the design and implementation of results-focused capacity development that could be shared with other practitioners. The reviews could also inform the work of WBI’s Capacity Development and Results Practice (WBICR). Feedback could specify ways WBICR could contribute to knowledge management efforts that support country improvements in results-focused capacity development. Project Selection The projects were selected for review based upon the commitment of the local project team to a “learning by doing” approach and willingness to examine the practice of capacity development in their own institutional or program environment. The projects engaged partners from government, private sector and civil society and focused on various themes. See table 1 for a summary of the project experiences. Participatory Review Outline WBICR worked with local project teams generally composed of a project manager and 3–5 lead persons designated locally to participate in the exercise. WBICR and the teams used guided discussions and workout sessions to collaboratively review the projects, apply results-focused tools and learn from and document the experiences. For more details about the review process, see Annex 2. The main discussion points in the review process involved: • A review of project context, stakeholders and the development goal • A review of institutional capacities • A review of diagnostic findings on institutional capacities and how they related to needed final outcomes • A discussion on local agents of change and local planning to manage change Consultation on the Project Experiences In Ethiopia, WBI held a preliminary consultative workshop on the three projects with leaders and practitioners from organizations engaged in capacity development in East Africa. Participants shared approaches to managing results and discussed local learning from the projects. The inputs from this consultation offered preliminary recommendations for this report. For details and recommendations, see Annex 3. overview xi Table 1. Summary of Project Experiences Project and Development Goal Implementing Institutional Capacity Constraints Local Agents Location and Thematic Area Bodies Identified in the Diagnostic of Change Multi- Promote peace IGAD, Conflict Demand Institutions Member state stakeholder and security in Early Warning governments; • Stakeholder ownership: commitment engagement Intergovernmental and Response CEWARN of leaders, stakeholder participation, for Authority on Mechanism units; local transparency of information institutional Development (CEWARN) administrations; change (IGAD) region Supply Institutions multi-stakeholder • Policy instruments: clarity in defining peace councils Djibouti, Fragile and post- rights and responsibilities of and committees; Sudan, conflict states stakeholders, legitimacy national research Ethiopia, institutes; organi- Kenya, • Organizational arrangements: clarity zations supporting Uganda, of mission, communications and conflict prevention Somalia stakeholder relations, operational efficiency Stakeholder Promote economic Addis Ababa Demand Institutions Business participation, development and Chamber of community; • Stakeholder ownership: commitment incentives growth in Ethiopia Commerce government and of leaders, stakeholders participation, and organiza- and Sectoral local community social norms and values tional support Public-private Associations officials involved for private partnerships (AACCSA) Supply Institutions in supporting sector reforms • Policy instruments: legitimacy, business incentives for compliance organizations Ethiopia • Organizational arrangements: communications and stakeholder relations, operational efficiency, adaptability Non-state Improve the Non-state Demand Institutions Civil society role in emergence of actor coalition leaders; NSAC; • Stakeholder ownership: commitment development an active and (NSAC), parliamentarians, of leaders, stakeholder participation, strategies and organized non- Poverty civil servants and social norms and values programs state sector Action elected officials Network of Supply Institutions in development Regional Demand-side civil society • Policy instruments: clarity in defining and governance; (Ethiopia) institutions and in Ethiopia rights and responsibilities of local experts; networks (PANE) stakeholders, legitimacy, consistency, public opinion incentives for compliance leaders; national EU officers • Organizational arrangements: clarity of mission, communications and stakeholder relations, operational efficiency, appropriate financial management xii Consultations in results-focused capacity development Summary of Lessons Learned Through the participatory reviews, local teams recognized the added value of a results- focused approach to designing, implementing, monitoring and learning from capacity development. The points below summarize new learning revealed through the reviews— key challenges and practical lessons and recommendations that could improve the local management of capacity development projects. Upfront visioning with main stakeholders around the development goal Challenge In most of the projects, the development goals were unclear and understood differently by stakeholders, which hindered results. Lessons The project teams saw how specifying the goal and building upfront understanding around its meaning for the main stakeholders was a critical step often taken for granted. It was particularly crucial to specify and agree on how goals set at a higher level related to their context, not only to broader priorities and good practice. Little attention to this step set the project off course in terms of achieving the most desired local changes and often blocked projects from achieving what was initially envisioned. For example, in the cases of NSAC and AACCSA, the review highlighted how the lack of stakeholder visioning around the goal slowed success and limited the project’s focus areas. Recommendation • Tools and approaches that can be integrated into project cycle management to strengthen upfront visioning of the goal with all main stakeholders. Examples include stakeholder analysis, mapping of stakeholder commitment to goals to identify common ground and rapid response tools. Diagnose institutional capacities across demand and supply institutions Challenge The projects lacked a thorough understanding of institutional capacity constraints and in turn often focused limited resources on challenges that were not top priority. Lessons Taking a more comprehensive review of institutional capacities across demand and supply institutions helped the project teams to understand complex constraints, their inter- relationships, and how they thwarted results. All of the projects were initially planned to focus on organizational capacity development. Through the review, teams saw developing stakeholder ownership and efficiency of policy instruments is often more critical. For summary of lessons learned xiii example, CEWARN/IGAD needed to address issues of legitimacy of existing policy instruments for local communities. AACCSA recognized the importance of stakeholder participation in setting priorities. Recommendation • Simple participatory diagnostic tools that could be built into the design of projects, including diagnostics to review stakeholder ownership, policy instruments and organizational arrangements. Use diagnostic findings for prioritization, decision-making and improvement of aid effectiveness Challenge Institutional capacity constraints are vast, resources are limited and many stakeholders must contribute to actions. Consequently, the local project teams had difficulty focusing projects for the best chance at results. Lessons The project teams saw there were trade-offs and difficult decisions to be made in terms of specifying project focus. For example, before NSAC could think about sustained efforts to develop organizational capacity, it needed to focus on institutional capacity constraints related to other key challenges, such as weak NSA participation in decision-making, questions of policy consistency, and lacking incentives for NSAs to partner and provide collective inputs. Recommendation • Collaborative tools to support more effective decision-making on how to best focus the capacity development. Examples include tools to help prioritize institutional capacity constraints, assess trade-offs and phase project outcomes in terms of what constraints to address first to ensure the most sustainable results. Use strategies and results frameworks to specify results for the capacity development and maximize local innovation Challenge The projects lacked strategies and results frameworks to encourage and support local innovations and coordinate the engagement of a large number of local agents and stakeholders around needed outcomes. Lessons The teams recognized the value of specifying in a more strategic manner how their project intended to support results. The CDRF supports a participatory process to develop a transparent and coherent strategy and results framework that helps to identify stakeholder interests, institutional capacity constraints, needed outcomes, capacity indicators and objectives. Local teams saw that such an effort could not only benefit their own project, but could also facilitate and optimize project planning. Effective planning coordinates capacity xiv Consultations in results-focused capacity development development initiatives by different stakeholders and partners in a whole sector or across sectors. Each initiative could develop innovative solutions that feed into key results. Recommendations • Local learning to develop applied knowledge and tools to support strategic planning and integration of capacity development objectives into country development initiatives. • Activities to support sector and cross-sector strategies and results framework development, including national capacity development indicators for specific goals. Focus support on local agents of change Challenge Projects often supported capacity development activities but did not identify how activities were intended to benefit local agents who could drive changes. The teams often presumed the roles of local agents with little communication with the agents. Lessons Paying more attention to identifying, engaging with and supporting appropriate local agents could support locally rooted results. These agents are not beneficiaries or target groups; they are leaders, groups, organizations and others who could play instrumental roles in supporting needed changes. They serve as focal points, facilitators and influenc- ers of new behaviors, relationships, processes and actions to ensure long-lasting results. AACCSA saw identifying such agents at the project’s start enabled locally rooted results. Recommendation • Guidance resources and local experience documentation on smart practice steps to facilitate the identification and engagement of local agents in a project context. Emphasize multi-stakeholder participatory planning and management of change processes Challenge Lack of local processes for managing changes in a capacity development project, such as to track progress during implementation and pinpoint issues that need adjustment. Lessons The teams saw that local changes could be planned and adaptively managed by identify- ing and tracking new behaviors, processes, relationships and actions in the form of inter- mediate capacity outcomes. For instance, CEWARN/IGAD saw that understanding what outcomes were needed for change to happen could them plan activities that effectively support local agents to drive change. In addition, tracking these outcomes in a participa- tory way could help teams to check whether activities were working as planned and make adjustments when necessary. Recommendation • More local learning on participatory approaches to help project teams, together with local agents, manage the change process, including in low resource settings. Such summary of lessons learned xv approaches could be used to identify and plan needed outcomes, monitor and review outcomes, and identify whether planned outcomes and activities are supporting change. Expand collaborative and systematic local learning on capacity development Challenge Lack of local learning about how to make capacity development more effective and build on what works. Lessons Local partners emphasized a need for collective learning around results-focused practices for the capacity development, such as tools and approaches that could help them to improve their work. This learning must go beyond typical knowledge sharing to agreeing on a systematic and standard way to document project experiences and assess capacity development needs. Local partners saw the CDRF as a key resource to support this consensus building. Recommendations • National and sub-national platforms to support capacity needs assessment and systematic learning on capacity development programming in a given context, such as in a sector or around a specific goal. • Use of transparent and systematic tools to consistently document capacity development project experiences and results, so they can be shared with other stakeholders and compared over time to identify what works and does not work. Use results to design diverse capacity development activities Challenge There was often a limited range of capacity development activities, such as training and technical support. These activities were designed to meet lacking technical functions, rather than the results needed to help local agents drive institutional changes. Lessons The reviews revealed the importance of using needed outcomes to design capacity development activities rather than missing skills or technology. Such an approach helped the project teams target activities to help local agents drive change. The teams saw how their focus on functional needs often led them to pre-described solutions rather than locally identified ones. Moreover, a critical need existed for more learning on how to implement new types of platforms other than training, such as for innovation, knowledge exchange, peer learning and leadership building. Recommendations • Local learning on results-focused approaches to support identification of the most appropriate mix of activities. These activities would support local agents in achieving needed outcomes (new behaviors, processes, relationships and actions). xvi Consultations in results-focused capacity development xvii Enhancing Multi-Stakeholder Engagement for Institutional Change Participatory Review of Capacity Development Project: The Conflict Early Warning and Response Mechanism of the Intergovernmental Authority on Development • Persistent conflicts in pastoral communities across the Intergovernmental Authority on Development (IGAD) region hinder peace and security, yet institutional arrangements to prevent, de-escalate, or resolve these conflicts are weak. Capacity development is a priority at the local, national, and cross-border/sub-regional levels, despite varying commitment from stakeholders to the development goal. • Through a participatory review using a results-focused approach to capacity development, the capacity development project team diagnosed institutional capacities and identified needed final outcomes and local agents of change to support the capacity development process and project planning. • Findings helped the team to draw local lessons on how to make the capacity development project more effective; facilitate local management of results; and design capacity development activities to support institutional change. Background tion, Management and Resolution (CPMR), with an initial focus on early warning and early response Throughout the IGAD region, cross-border pas- mechanisms and pastoral areas where conflict toral issues and related conflicts challenge gover- often starts. Promising responses would require nance and stability, leading to breakdowns in social institutional changes that are integrated locally, cohesion. Endemic violence occurs because of nationally and sub-regionally, given the multi- dwindling natural resources, population pressures, country nature of the problem and importance of illegal light weapons, influx of refugees and cattle local solutions. and land use disagreements. Conflicts can quickly spread if left unmanaged and create large num- In 2000, as a first step, IGAD established CEWARN bers of casualties and refugees across the region. to address cross-border pastoral and related conflicts of seven member states—Somalia, Yet, institutional capacities to prevent or resolve Djibouti, Uganda, Sudan, Ethiopia, Eritrea and these pastoral conflicts are weak within the Kenya. Conflict Early Warning and Response Units Regional Economic Community (REC) countries (CEWERUs), multi-stakeholder local peace com- and local communities. Hence, IGAD member mittees and sub-regional peace councils play key states agreed to operationalize Conflict Preven- roles in activating and coordinating the scale-up enhancing multi-stakeholder engagement 1 of early warning and response activities, locally, objective, focusing on the promotion of effective nationally and sub-regionally/regionally. However, conflict early warning and response mechanisms. the results of these efforts vary—the countries are CEWERUs, multi-stakeholder local peace at different stages in a change process to achieve committees and key organizations such as national reforms for the development goal. research institutes would lead early warning and response implementation. CEWARN would To develop institutional capacities to prevent, de- serve as a regional unit to coordinate this work escalate, or resolve conflicts, CEWARN launched at different levels and support ongoing capacity a capacity development project supported by a development. Rapid Response Fund (RRF). The fund provides resources to develop the capacity of national The RRF funds CPMR measures and capacity CEWERUs and agents, focusing on conflict early development interventions at all levels to advance warning and response related activities. the development objective. RRF does this by supporting CPMR activities from the local level; In 2009, WBI and CEWARN/IGAD began reviewing supporting member states to build the respective the project using the Capacity Development and and required capacity outcomes among actors at Results Framework (CDRF). They aimed to build all levels (such as government and civil society); recommendations that could improve the project’s and facilitating dialogue and collaboration locally, overall effectiveness, including strategy, imple- nationally and sub-regionally to jointly implement mentation and orientation of project planning conflict early warning and response activities. toward the most needed results. Component Objectives Objectives of the project’s components are to: Project Context • Provide CEWARN (at all levels) with the flexibility and rapid response capacity it requires Development Goal to be an effective early warning and response The goal is to promote peace and security in the mechanism to address pastoral and related IGAD region. In 2002, African Union (AU) member conflicts in the IGAD region. states signed a protocol establishing its Peace • Develop and maintain the grant-making and Security Council. As a priority to achieve the capacity of CEWARN to deal with emerging development goal they also agreed to establish a cross-border pastoral and related conflicts. Continental Early Warning System to facilitate the • Forge effective partnerships and networking anticipation and prevention of conflicts in Africa. among civil society organizations (CSOs), AU has since engaged in a process to set up governments and multilateral organizations, the system in different parts of Africa, and the among others, to carry out conciliatory CEWARN unit of the IGAD secretariat participates interventions before conflicts lead to a in the process. breakdown in social cohesion. Project Objective The project development objective addressed Stakeholders is to prevent, manage and resolve pastoral and related conflicts at the local, national, and cross- Implementing Agency border/sub-regional levels in the IGAD region. IGAD is implementing the project; CEWARN is CEWARN areas of focus include the Somali Cluster the unit assigned to manage the project, including (border areas of Somalia, Kenya and Ethiopia), a technical support unit to handle capacity build- Karamoja Cluster (border areas of Uganda, Sudan, ing and operational tasks. CEWARN’s mandate is Kenya and Ethiopia) and Dikhil Cluster (border to receive and share information concerning areas of Ethiopia and Djibouti). potentially violent conflicts as well as their out- break and escalation in the IGAD region, under- For the project and RRF support to be deemed take analysis of this information, develop case a success it will have increased institutional scenarios and formulate options for response. capacities in local, national and cross-border/ Though the CEWARN mandate covers all types sub-regional areas to support the development of conflicts, it was agreed that, as a first step, the 2 Consultations in results-focused capacity development Table 2. Stakeholders Stakeholders Why their involvement is important Local, national, cross-border/sub-regional: CEWERUs, local Support and carry out early warning and response communities, local administration, government bodies, CSOs functions at different levels, receive RRF grants and engaged in conflict prevention, research and academic facilities serve as members of peace committees engaged in information systems and development Regional level (IGAD): Includes member CEWARN units, state Support early warning and response funding and governments, steering committee, development partners implementation and mobilization of stakeholders Africa level: Other RECs and regional mechanisms, and the AU Align with similar projects and policy responses taking place across Africa that are coordinated by other RECs and the AU mechanism should start by monitoring cross- response mechanisms are more developed in border pastoral and related conflicts. Ethiopia, Kenya and Uganda than in Sudan, Somalia and Djibouti. Partners The RRF, a multi-donor basket fund launched by The different development situations of these CEWARN in January 2009, supports the project. countries affected the focusing of the goal and CEWARN development partners contributing desired results in each local, national and sub- to the RRF include the Austrian Development national context. The differences included varia- Agency (ADA), Government of Belgium, tions in these countries’ peace and security chal- Government of Denmark, Swedish International lenges and policies; experience in implementing Development Agency (SIDA), United Kingdom early warning and response mechanisms; access to Department for International Development (DfID), international assistance to address the goal; bud- German Society for Technical Cooperation (GTZ) get allocations for the goal relative to other devel- and Government of Italy. Other donor partners opment activities by their member state govern- contributing support to the core operational fund ments; and other contextual factors at all levels. of CEWARN for the achievement of the project include the United States Agency for International Issues Raised in Review Development (USAID), Danish Peace Fund, EU, The review drew attention to the urgency of the SIDA and other relevant partners, such as InWent development goal for regional and continental Capacity Building International Germany. stakeholders, as well as their high expectations for results. Although there was high-level commitment Stakeholders of member states, the commitment of individual See table 2. countries was often variable and their visioning did not align around the meaning of the goal for the Level of Commitment sub-regional and country contexts. At the Africa level, REC and AU political commit- ment were mobilized and dedicated to support The team had mostly engaged regional and con- the development goal. Despite the existing tinental-level commitments. They had to obtain commitment, before the project started, local, endorsement from member states at the high- national and sub-regional stakeholders had est level before undertaking any activity on the limited engagement to scale-up early warning ground. For the project to be successful, the team and response, particularly in border and pastoral must now mobilize and support local, national and areas. Hence, the project strives to develop the sub-regional actors—such as local citizens in bor- capacity for stakeholder engagement. der communities and national research institutes— to align around desired results to achieve the goal. At the regional level, all IGAD member state lead- Local stakeholder groups and lower-ranked gov- ers in Ethiopia, Kenya, Uganda, Sudan, Djibouti ernment officials will need to support the desired and Somalia showed political commitment to results in a coordinated and timely way and with the development goal. However, the institutional up-to-date information to inform decision-making conditions to facilitate conflict early warning and for conflict prevention. enhancing multi-stakeholder engagement 3 Table 3. Capacity Area: Stakeholder Ownership Characteristics/Challenges/Outcomes [Demand Side] Characteristics Challenges Final Outcomes Commitment of • More commitment and support needed from individual Expanded member state political and social countries to support early warning and response commitment to integrate leaders mechanisms within national development planning. conflict prevention in national development planning Stakeholder • Need for more inclusive stakeholder dialogue with Improved multi-stakeholder participation in government on conflict prevention response, including participation to establish major decision-making CSOs and citizens who may be required to take action in components that deal with selected communities. conflict prevention at local, national and sub-regional levels • Need for enhanced cooperation on early warning and response mechanisms among civil society and government leaders, and among stakeholders locally, nationally and sub-regionally. Cooperation is required to quickly prevent and/or resolve conflicts. Transparency of • Need for more streamlined and real-time early warning Improved and real-time informa- information to information for stakeholders to explain actions on conflict tion available to stakeholders stakeholders prevention and inform decision-making and response on conflict prevention at local, development. national and sub-regional levels Table 4. Capacity Area: Policy Instruments Characteristics/Challenges/Outcomes [Supply Side] Characteristics Challenges Final Outcomes Clarity in defining • Need to develop national peace policies by all member Clear guidelines on the roles of rights and states; so far only Kenya has developed such policies different stakeholders to deal responsibilities of while Uganda is in the process. with and coordinate conflict stakeholders prevention • Need for the remaining IGAD member states to emulate Kenya, Ethiopia and Uganda and develop operational guidelines to define clear roles for stakeholders to deal with conflict and coordinate responses at different levels, such as conflict supervision, cross-border cooperation and information gathering and exchange. • Need to further define the role of CSOs in local responses in collaboration with government agencies, to deliver effective and timely conflict prevention measures. • Need for conflict prevention guidelines to facilitate rural stakeholder actions in border communities, as well as national and sub-regional stakeholders that need a link with these communities to manage prevention and information. Legitimacy • Need to sustain and further improve the processes to Improved local, national and systematically involve local, national and sub-regional sub-regional implementation of stakeholders in the development and monitoring of conflict prevention policy regional guidelines and good practices to support instruments conflict prevention. 4 Consultations in results-focused capacity development Table 5. Capacity Area: Organizational Arrangements Characteristics/Challenges/Outcomes [Supply Side] Characteristics Challenges Final Outcomes Clarity of mission • Need for building the capacity of CEWERUs through Improved clarity of CEWERUs further developing their mission, strategy, support mission, strategy, support structures and financing. structures and financing to coordinate conflict prevention arrangements Communications and • Need for further improving the relationships and CEWERUs have expanded stakeholder relations communication between CEWERUs, government offices, networks and communication civil society and research institutes at the national, processes to support conflict sub-regional and local levels to support information response gathering, analysis and reporting systems. Operational • Need for more effective operational support programs Improved operational efficiency efficiency and services for conflict response within all IGAD of support programs and services member states, particularly for CEWERUs, cross-border for conflict prevention response and local peace committees as well as civil society at local, national and sub-regional organizations and research institutes. levels Institutional Diagnosis Diagnostic Debriefing The local team reviewed challenges in terms of The local team’s review of the diagnostic findings demand and supply side constraints across the prompted discussion on how the project could institutional capacity areas. These challenges better address institutional capacity constraints. could be addressed by capacity development. Use diagnostic to focus on needed results Stakeholder Ownership The team identified challenges they did not origi- How strong is it to support the goal? nally address in project planning. They acknowl- Social and political issues influenced the way edged all of the major institutional capacity con- stakeholders could respond to conflict, such as straints related to stakeholder ownership, policy issues of leadership, stakeholder participation instruments and organizational arrangements must and transparency of information. Government and be diagnosed so results in these areas could be public commitment to the goal was variable supported by the project. One suggestion was (table 3). to build capacity diagnostic tools into the local design of the project that could be managed by Policy Instruments peace committees and CEWERUs in each country. How efficient are they in guiding stakeholders’ behavior to achieving the goal? Use diagnostic findings to prioritize project Administrative rules, laws, regulations, standards investments and other related instruments offered inefficient Given the wide range of institutional capacity support for conflict prevention. Issues related to constraints and variation within these constraints, their clarity in guiding stakeholder behavior, and locally, nationally and sub-regionally, the team saw legitimacy to support national, sub-regional and they could use the diagnostic findings to focus local conflict response needs (table 4). the RRF and project support on the most needed results. Original project planning focused on Organizational Arrangements developing organizational arrangements for How effective are they in achieving the goal? conflict prevention; the diagnostic pointed out The team reviewed the effectiveness of existing the importance of constraints related to stake- arrangements for conflict prevention, such as holder ownership and policy instruments. The the clarity of CEWARN’s mission and strategy, team planned to conduct a follow-up review of the operational efficiency of CEWARN services, and diagnostic findings with stakeholders and use this networks and organizational relationships to discussion to help decide next steps on how to support response at different levels (table 5). best focus the project. enhancing multi-stakeholder engagement 5 Customize capacity development to the local or identify partners to address constraints that fall context outside the project’s scope. The diagnostic pointed out the need to customize the project to each country and even each border The team could use the final outcomes and setting. Interventions to strengthen stakeholder constraints to inform specific objectives and align ownership seemed more important in some set- them with needed results. The original project tings, while the effectiveness of organizational lacked clear indicators to measure outcomes or support structures were a higher priority in others. changes in institutional capacity to support the development goal. Develop a results framework that focuses on institutional change The team identified a need to develop a results Agents of Change framework that included indicators to assess capacity outcomes. They could look at how these The project team identified agents that could outcomes contribute to results in terms of chang- drive specific changes to achieve the project’s es in institutional conditions to support the goal. outcomes (table 6). Issues Raised in Review Final Outcome Selection In certain border areas or sub-regions agents of change were absent or there was a limited The local team used the diagnostic findings ability to safely coordinate their engagement; to determine final outcomes important to the the border area near Somalia presented a project’s success (tables 3–5). This task addressed particular concern. The team planned to work with the outcomes needed to change each major stakeholders to identify proxy groups in these institutional capacity constraint; possible indicators areas. Given the large number of agents involved of these outcomes; and potential actions and the importance of creating links among based upon the findings to improve capacity them, the team saw a need to further define roles development efforts (figure 1). and specify how each agent could support the achievement of final outcomes. Issues Raised in Review The local team stated the importance of reviewing the original project plan to determine whether pri- Management of Change ority institutional capacity constraints and needed final outcomes are considered and communicated. Using the review, the local team identified new While not all constraints may be addressed, it may behaviors, relationships, processes and actions be necessary to explain the focus on key outcomes that might enable local agents to achieve priority Figure 1. Example of Final Outcome and Indicator for Policy Instruments Development goal: Promote peace and security in the IGAD region Institutional capacity area: Efficiency of policy instruments Characteristic related to challenges or institutional capacity constraint: Legitimacy of policy instruments Needed final outcome: Improved local, national and sub-regional implementation of conflict prevention policy instruments Proposed indicator: Rating indicating the extent to which stake- holder representatives at each level support policy implementation 6 Consultations in results-focused capacity development Table 6. Agents of Change and Their Roles Agents How they are expected to support change Member state governments, such as leaders from security Support and implement decisions that involve government and humanitarian agencies as well as local administrations action Sub-regional peace councils with government and civil Facilitate joint actions for conflict prevention by different society stakeholders stakeholders and facilitate the process of addressing cross- border issues CEWERUs, Country Coordinators, Assistant Country Assist in the coordination of project implementation and Coordinators and Field Monitors grants for local eligible institutions/organizations National research institutes Support information gathering, analysis and reporting Peace committees made up of government, community, Facilitate joint actions for conflict prevention by different and civil society stakeholders, such as CSOs, traditional stakeholders; represent local communities; inspire citizens leaders and community groups and groups in local communities to take action CEWERU grantees: local, national or sub-regional Develop CPMR measures organizations/groups receiving support to develop CPMR measures final outcomes. This understanding helped to Lessons Learned outline a possible change process: Identifying needed results and how local agents must change The team learned from the participatory review to support these results would help the team plan how a results-focused approach to capacity devel- activities more effectively. This change process opment could be used to: could also support a collaborative local planning effort that engages CEWARU grantees, peace Consider full range of institutional challenges in councils, committees and other agents. project planning Original project planning mainly focused on Tables 7–9 show examples of a local plan to man- organizational capacity development for early age the changes needed for the project. These warning and response, but challenges related to examples list the most important, or priority, con- stakeholder ownership and policy instruments straints that came out of the diagnosis. By focus- were also significant. Addressing these other main ing on these priorities, the team can better plan challenges would help CEWARN support and capacity development activities that support local organize local stakeholders to implement grants actors to advance changes toward the goal. that change the most important constraints, as well as communicate these changes in capacities Issues Raised in Review to donors and member states. The team saw they could plan capacity develop- ment activities or components to directly influence Improve strategic coherence for a more institutional capacities or needed final outcomes. effective project This change could be communicated to donors Emphasizing the strategic link between project and stakeholders to expand their support. activities and institutional capacities to support the goal ensures a project is designed to achieve Project results depended upon how well activi- the best possible results at all levels. This strategic ties supported the transformation of agents of link also helps to communicate the project to local change, such as peace councils and local grantees. stakeholders, plan and identify the most appropri- The team requested support to develop, test and ate activities, account for the use of resources and adapt tools to integrate results-focused capacity expand stakeholder interest since expected results development planning into the project at all levels. can be discussed so openly. enhancing multi-stakeholder engagement 7 Table 7. Example of Change Process for Stakeholder Ownership Priority institutional Sample new behaviors, relationships, Sample agents Sample capacity capacities and final processes and actions to support of change development activities outcomes to support change capacity development Stakeholder participation • Platforms created for stakeholder • CEWERUs • Stakeholder mapping in setting priorities decision-making, such as peace • Sub-regional • Multi-level stakeholder councils and committees peace exchanges Needed final outcome: • Improved consensus among councils and Improved multi-stakeholder • Sub-regional workshops stakeholders on response issues local peace participation to put in place committees • Advisory support to major components to deal • Plan implemented to support conflict multi-stakeholder with conflict prevention at responses peace councils and local, national and sub- committees (local and regional levels sub-regional) Transparency of • Increased awareness of conflict • CEWERUs • Sensitization campaigns information to information needs on best practice for • Sub-regional stakeholders effective information • New steps planned for information peace gathering and sharing gathering, analysis and reporting councils and Needed final outcome: local peace • Workshop and advisory Improved information committees support available to stakeholders on conflict prevention at local, • National national and sub-regional research levels institutes Table 8. Example of Change Process for Policy Instruments Priority institutional Sample new behaviors, relationships, Sample agents of Sample capacity capacities and final processes and actions to support change development activities outcomes to support change capacity development Clarity in defining rights • Improved understanding of policy • Government • Stakeholder and responsibilities of needs from assessment consultation • CEWERUs stakeholders • Guidelines on conflict prevention • Advisory support to • Sub-regional and roles of different stakeholders guide development Needed final outcome: peace formulated of policy and legal Clear guidelines on the councils and frameworks roles of stakeholders to • Improved skills in policy local peace deal with and coordinate development committees • Peer-to-peer learning conflict prevention among actors in each • National country research institutes • Course for government and non-government leaders Legitimacy • Better understanding of conflict • Government • Stakeholder meetings prevention policy needs and workshops • CEWERUs Needed final outcome: to support policy • New guidance or steps formulated Improved local, national • Sub-regional implementation and sub-regional • Monitoring process established peace • Knowledge exchange effectiveness of conflict councils and local peace lessons prevention policy instruments committees • Advisory support to guide policy review and • National monitoring research institutes 8 Consultations in results-focused capacity development Table 9. Example of Change Process for Organizational Arrangements Priority institutional Sample new behaviors, relationships, Sample agents of Sample capacity capacities and final processes and actions to support change development activities outcomes to support change capacity development Clarity of mission • Increased collaboration with • CEWERUs • Coordination meetings organizations and group supporting • Sub-regional • Advisory support Needed final outcome: conflict prevention peace Improved clarity of • Participatory planning • Expanded network to coordinate councils and CEWARU mission, strategy, sessions conflict prevention local peace support structures and committees financing to coordinate • Stakeholder agreement on strategy conflict prevention and financial coordination arrangements • Proposed plan for information gathering, analysis and reporting Operational efficiency • Enhanced skills to manage local • CEWERUs • Mentoring support for grants for capacity building grantees • CEWERU Needed final outcome: • New systems developed for conflict grantees • Training in specific skills Improved operational information efficiency of support • Advisory and technical programs and services • New knowledge to implement support for conflict prevention grantee programs • Support and response at local, national • Grantees apply enhanced skills monitoring of grantees and sub-regional levels proposal • M&E plan initiated • New CPMR measures implemented Facilitate participatory project management decision-making on where to focus the project and learning on what works to achieve the best results. Using a diagnostic to The use of simple tools to track new behaviors, identify and prioritize constraints also provides relationships, processes and actions achieved a strategic framework for partners. Partners would support local engagement in decision- could align their support to change different or making on project activities and needed results. inter-related constraints, thereby feeding into a Tracking these intermediate capacity outcomes common goal. would allow the team to observe change, monitor progress and make timely adjustments to ensure Use needed outcomes rather than gaps in project activities remain focused on the final functions to guide planning outcomes and most needed institutional changes. The team had focused on missing functions, such These tools could also expand local accountability as trained personnel to run early warning activities and leadership in identifying what works and does and the lack of early warning information systems not work in the project. in communities. Focusing on deeper challenges and how they relate to specific capacity con- Use institutional capacities to focus project and straints and outcomes helped the team to think develop strategies for coordinated support more creatively about how to use funding to sup- A clearer understanding of institutional capacity port needed local results, rather than build and constraints to achieving the goal would guide scale-up pre-described or set functions. enhancing multi-stakeholder engagement 9 Developing Stakeholder Participation, Incentives and Organizational Support for Private Sector Reforms Participatory Review of Capacity Development Project: Addis Ababa Chamber of Commerce and Sectoral Associations • A weak environment for private enterprise led the Addis Ababa Chamber of Commerce and Sectoral Associations (AACCSA) to undertake a capacity development project. The project would develop the capacity of AACCSA together with stakeholders to contribute to the growth of a competitive and responsible private sector. • Through a participatory review using a results-focused approach to capacity development, an AACCSA team diagnosed institutional capacities and identified needed final outcomes and local agents of change to support the capacity development process and project planning. • Findings helped the team to draw local lessons on how to refine project priorities; ensure a coherent, transparent and locally led capacity development strategy; outline a plan to manage local changes; and design activities that enable local agents to support the most needed results. Background standards, codes and practices need moderniza- tion in light of new opportunities for business To have lasting results, capacity development in expansion and investment. Thus, the business Africa must focus on the three main societal community saw the need to accelerate a reform pillars: government, civil society and private process to better support private enterprise and sector. The growth of a competitive and respon- broad public-private partnerships. sible private sector is essential to the climb out of poverty and modernization of infrastructure. Help- As a first step in the reform process, the Addis ing the business community prosper through a Ababa Chamber of Commerce reorganized in flexible and hospitable economic environment can 2003 to integrate sectoral associations. This increase international trade and investment and reorganization aimed to ensure support structures lead to effective public-private partnerships. could coordinate efforts for the strengthening of a healthy business climate and adoption of Key challenges concern the reform of Ethiopia’s international business standards and processes. business support structures to better facilitate the AACCSA now represents more than 60 percent of private sector’s contribution to economic develop- the businesses in Addis Ababa. In January 2008, ment and growth. Moreover, existing procedures, AACCSA implemented a project to support the DEVELOPING STAKEHOLDER PARTICIpaTION, INCENTIVES and organizational support 11 Table 10. Stakeholders Stakeholders Why their involvement is important Members of chambers of commerce and business Understand needs related to reform issues associations, such as companies and local businesses Businesses that are not members of chambers or Understand needs related to reform issues associations, such as potential investors and small operators Government agencies at the Federal and municipal level, Responsible for specific reforms processes including the Ministries of Trade, Capacity Building and Justice Educational institutions and professional groups (auditors, Possess technical knowledge of reform issues often legal, other), such as business schools lacking in the business community Media leaders Engage in public communications on reform issues Associations and civil society groups engaged in the Implement business support activities business community Business leaders and respected entrepreneurs Set opinions that influence business community thinking Donors Support implementation of reform activities AACCSA umbrella, including senior staff and associations Implement business support activities development of new capacities needed for the and public sector. An initial focus was developing reform process. the capacity of AACCSA to provide services and support for the Private Sector Development Hub In 2009, WBI and AACCSA began reviewing the (PSD Hub) launched in 2005. project using the Capacity Development and Results Framework (CDRF), to build recommen- PSD Hub is a program for coordination among dations that could improve the project’s overall AACCSA, business associations, and other stake- effectiveness, including strategy, implementation holders on private sector reform issues. The and orientation of project planning toward the overall objectives of the PSD Hub program are to most needed results. improve and modernize the enabling entrepre- neurial environment and strengthen the capacity of the Ethiopian private sector to contribute to Project Context national dialogue on economic development. The AACCSA capacity development project Development Goal grew beyond the PSD Hub program, to develop The goal is to contribute to economic develop- AACCSA capacity to provide services and support ment and growth in Ethiopia, specifically the for the business community more broadly. growth of a competitive and responsible private sector. This development goal connected to a Component Objectives range of other country projects and donor efforts Objectives of the project’s components are to: focused on improving the country’s business • Increase the effectiveness of business support environment, by modernizing infrastructure, structures to foster and protect the interests of making policy instruments more efficient and trade, commerce and industry engaging businesses in a more inclusive dialogue • Enhance cooperation between business and on development issues. government to facilitate reform processes for business development and growth Project Objective • Improve the regulatory and legal framework for The project development objective is to develop company registration, licensing processes and AACCSA’s capacity, specifically its organizational revision of the commercial code capacity to support the development goal and reform efforts of the wider business community 12 Consultations in results-focused capacity development Stakeholders Institutional Diagnosis Implementing Agency The local team reviewed challenges in terms of AACCSA is the lead implementing agency for the demand and supply side constraints across the project, and the Ethiopian Chamber of Commerce institutional capacity areas. is a co-implementing agency. Stakeholder Ownership Partners How strong is it to support the goal? The capacity development project was estab- Social and political issues influenced national- lished with the support of SIDA and financial and municipal-level stakeholder ownership of the resources allocated for PSD Hub. It was one of the needed business reforms. Although there appeared first projects managed by the newly reorganized to be support for the goal, challenges remained AACCSA. Other key partners included regional- to successfully bring together stakeholders so that level chambers of commerce and sector and/ new actions could be supported, prioritized and or professional associations within the business facilitated to achieve the goal (table 11). community. Policy Instruments Stakeholders How efficient are they in guiding stakeholders’ See table 10. behavior to achieving the goal? Incentives needed improvement to help business Level of Commitment stakeholders advance the goal. Rules and regula- The business community continued to face severe tions were outdated and created administrative constraints that blocked its self-maintenance and burdens—otherwise known as red tape—for small growth. To remedy this situation the community businesses in particular. For example, the company held extensive consultations for more than registration system was time-consuming in terms two years with various stakeholders. They also of business closure, and in part fueled growth in engaged government agencies, such as the informal private sector activity by increasing the Ministries of Trade and Industry, Finance, and number of non-registered businesses. Perceived Revenue, Federal Auditors General, National Bank legitimacy in terms of policy instruments reflect- of Ethiopia, Central Statistical Agency and others. ing business community needs also presented a concern (table 12). One challenge faced was the wide range of inter- ests of government as well as business groups in Organizational Arrangements terms of the reforms. For example, capital market How effective are they in achieving the goal? development and audit standardization received Challenges abound in the effectiveness of AACCSA varying levels of attention. organizational arrangements, in terms of its adapt- ability, communication and relationship with stake- Issues Raised in Review holders and operational efficiency. A key challenge The project’s scope could be more focused, was the adaptability of AACCSA’s skill base and its considering the proposed time frame, available lack of quick uptake of new knowledge and innova- budget and range of interests among stakehold- tion. (table 13). ers engaged in consultations for the project. Moreover, improving regulatory and legal frame- works would be impossible without strong public Diagnostic Debriefing sector support. The local team’s review of the diagnostic findings The project needed more unified support from raised a discussion on how the project could both public and private sector stakeholders in the better address institutional capacity issues: wider business community. One proposal sug- gested allowing key stakeholders to form working Conduct a deeper review of institutional groups that could reflect on a joint action plan capacities with stakeholders and follow up on progress. The team saw an opportunity to more closely engage stakeholders in project planning, including DEVELOPING STAKEHOLDER PARTICIpaTION, INCENTIVES and organizational support 13 Table 11. Capacity Area: Stakeholder Ownership Characteristics/Challenges/Outcomes [Demand Side] Characteristics Challenges Final Outcomes Commitment of • Commitment to reforms in key areas—such as capital Improved multi-stakeholder political and social market development, auditing and accounting commitment to address priority leaders standards—is often percieved to be low by stakeholders. reform issues Stakeholder • Weak collective dialogue among stakeholders to Improved dialogue among participation in support reform efforts, including needs, challenges and AACCSA, government and key setting priorities preferences related to policy reform. stakeholders to guide decisions related to private sector policy reform Compatibility of • Lack of a culture of business groups taking action Increased willingness of business social norms and to support specific policy reforms. Often related to actors to take public positions on values challenges of knowledge and social attitudes. private sector reform issues Table 12. Capacity Area: Policy Instruments Characteristics/Challenges/Outcomes [Supply Side] Characteristics Challenges Final Outcomes Legitimacy • Processes planned nationally often do not reflect what Improved framework for business business groups perceive as needed for development. stakeholders to provide input into government-implemented policy reforms that affect the private sector Incentives for • Rules and regulations to guide companies and business Improved national, sub-regional compliance stakeholders require revision to efficiently support and local effectiveness of conflict modernization and improve local compliance. Key items prevention policy instruments include the commercial code and company registration systems that are time-consuming , especially for small businesses. Table 13. Capacity Area: Organizational Arrangements Characteristics/Challenges/Outcomes [Supply Side] Characteristics Challenges Final Outcomes Communications and • Lack of mechanisms to monitor the needs of local Improved systems for business stakeholder relations businesses. communication and needs assessment • Inadequate sharing of information, especially among small business operators. Operational • Weak alignment of management systems and planning Increased operational efficiency efficiency of programs and services despite reorganization of of AACCSA’s management sys- AACCSA to unite major business support structures. tems, planning and use of skills and technology • Weak technology and skills to support private sector modernization, such as online processes. Adaptability in • Slow uptake of new knowledge and innovation to inform Improved adaptability to anticipating and business reform processes, particularly on new and incorporate new knowledge and responding to emerging issues. innovation on reform issues change • Inadequate processes to integrate new knowledge from experts in policy reform areas. 14 Consultations in results-focused capacity development a deeper diagnosis and understanding of the Final Outcome Selection main institutional capacity challenges. The review provided a first input to such a process. The local team used the diagnostic findings to This engagement could help refine the capacity review final outcomes important to the project’s development’s focus as well as boost multi- success (tables 11–13). This task addressed final stakeholder support. outcomes needed to change each major institu- tional capacity constraint; possible indicators of Attention to institutional capacities for these outcomes; and potential actions to improve stakeholder ownership the address of constraints by the project and/or AACCSA recognized how important address- future capacity development efforts (figure 2). ing institutional capacities related to stakeholder ownership was to the success of the capacity Issues Raised in Review development, specifically stakeholder processes An opportunity existed to better articulate to discuss reform priorities and decisions. The which institutional capacities the project would project initially focused on improving AACCSA’s change. The project’s objectives could reflect the organizational capacity and existing stakeholder institutional capacities that needed to change, incentives to guide local businesses. Using the which would better focus the project’s results. institutional diagnosis to better understand the challenges of stakeholder ownership would Another opportunity existed to use final outcomes strengthen the capacity development. and indicators to measure changes in institutional capacities supported by the capacity develop- Phase project support to develop institutional ment. Clear indicators to measure specific chang- capacities es in capacity could help to communicate the The team saw an opportunity to phase capacity project’s results. This evidence of results is integral development support, in order to address differ- for AACCSA’s accountability to its stakeholders. ent institutional capacity constraints or challenges according to stakeholder priorities. Agents of Change Integrate institutional capacity diagnosis with organizational planning tools The project team identified agents that could The local team used a SWOT analysis (Strengths/ drive specific changes to achieve the project’s Weaknesses/Opportunities/Threats) for the staff outcomes (table 14). to jointly scan constraints in the three institutional capacity areas. They saw this analysis as a useful Issues Raised in Review tool for their internal review of institutional capaci- There was an opportunity to identify key agents ties in AACCSA project planning. in influential positions in the business community Figure 2. Example of Final Outcome and Indicator for Organizational Arrangements Development goal: Promote economic development and growth, specifically the growth of a competitive and responsible private sector Institutional capacity area: AACCSA’s organizational arrangements Characteristic related to key challenges or institutional capacity constraint: Communications and stakeholder relations Needed final outcome: Improved systems for business communication and needs assessment Proposed indicator: Satisfaction levels reported by business members for (1) access to information on priority business issues and (2) relevance of programs and services to their needs DEVELOPING STAKEHOLDER PARTICIpaTION, INCENTIVES and organizational support 15 Table 14. Agents of Change and Their Roles Agents How they are expected to support change Business community: business associations staff, Act as liaisons to channel knowledge and information and business leaders, AACCSA staff, company members communicate business reform needs and recommendations Government and local community officials involved Understand the need for bold reforms and be willing to collabo- in supporting business organizations rate with the business community and take action and government who could act as drivers to Tables 15–17 show examples of a local plan to support changes locally. Each local agent—for manage the changes needed for the project. example, AACCSA staff, government officials These examples list the most important, or prior- and business leaders—needed to play specific ity, constraints that came out of the diagnosis. By roles to support the project. These roles could be focusing on these priorities, the team can better discussed locally to build a shared understanding plan capacity development activities that support around the change process needed. local actors to advance changes that contribute to the goal.. Engaging the “right” agents at the start of the project, with the “right” knowledge and experi- Issues Raised in Review ence, was challenging. AACCSA planned for the While AACCSA generally accepted that the project to support new learning that could help business community and government officials empower the selected local agents to facilitate would support new behaviors, relationships, change. processes and actions toward the project’s results, the change process could be used to engage stakeholders in more participatory project Management of Change planning. This deeper planning would allow for a mutual understanding around what was needed Using the review, the local team identified new be- to support local agents and the specific roles haviors, relationships, processes and actions that of government officials and business leaders in might enable local agents to achieve priority final driving change. outcomes. This understanding helped to outline a possible change process: Identifying changes that The AACCSA team also recognized: might help support local agents to achieve results • Actions and activities needed to support results for the project, and the capacity development may change during implementation. A periodic activities that could help facilitate these changes. review of the implementation plan could be conducted to adapt activities that continuously Understanding the change process could help support the most needed results. guide a collaborative planning process among • Project activities could be planned to bring stakeholders. The team also saw local activities about changes toward institutional capacity could be tracked to check if they effectively sup- constraints or challenges. ported a local agent in the reform process. • Capacity outcomes related to new behaviors, relationships, processes and actions, as Using the review, the local team identified new well as final outcomes, could be reported behaviors, relationships, processes and actions to stakeholders and donors, to help them that might enable local agents to achieve priority understand the project’s progress and results as final outcomes. This understanding helped to well as ensure their continued support. outline a possible change process: Identifying needed results and how local agents must change to support these results would help the team plan Lessons Learned activities more effectively. This change process could also support a collaborative local planning The team learned from the participatory review effort that engages CEWARU grantees, peace how a results-focused approach to capacity councils, committees and other agents. development could be used to: 16 Consultations in results-focused capacity development Table 15. Example of Change Process for Stakeholder Ownership Priority institutional Sample new behaviors, relationships, Sample agents Sample capacity capacities and final processes and actions to support of change development activities outcomes to support change capacity development Stakeholder participation • Participatory process initiated for • Government • Private/public in setting priorities public-private dialogue officials consultations • Expanded understanding on good • Business • Workshops and joint Needed final outcome: practice and viable reform options associations learning on reforms Improved dialogue among AACCSA, government and • Reform recommendations proposed • Business • Document commenting key stakeholders to guide to government decision-makers leaders • Proposal development decisions related to private • AACCSA staff sector policy reform Compatibility of social • Increased understanding of business • Business • Peer-to-peer norms and values role and how to take action on associations knowledge exchange reform issues on reform issues • Business Needed final outcome: • Increased confidence to take actions leaders • Coaching of business Increased willingness of that address reforms leadership in public business actors to take • AACCSA staff speaking, visibility and public positions on private • Enhanced understanding on reform motivation sector reform issues issues and needs • Awareness workshops Table 16. Example of Change Process for Policy Instruments Priority institutional Sample new behaviors, relationships, Sample agents of Sample capacity capacities and final processes and actions to support change development activities outcomes to support change capacity development Incentives for compliance • Implemented guidance for new • Government • Consultative meetings review processes in reform areas officials • Technical collaboration Needed final outcome: • Raised awareness and confidence to • Business More modernized business • Revision of reform comply with new guidance associations rules and regulations to process support local compliance • Designed M&E plan • Business • Proposal/guideline leaders development • AACCSA staff • Training on new policy guidance Understand stakeholder interests to ensure could address, to focus the capacity development local results on the most needed results. The diagnosis could By taking the time to review the development also inform decisions on sequencing in terms goal’s meaning to each stakeholder and engaging of what to target at key stages of the project. A them in focusing priorities, the team could align detailed diagnosis could help ensure a capacity stakeholders’ diverse interests around the most development project is strategically coherent feasible and desirable results in the longer term. in what it intends to achieve, and that capacity development activities are appropriately focused Conduct a thorough review of institutional to meet needed outcomes. capacities to improve planning and project staging Recognize importance of stakeholder The team could use a comprehensive review to participation in setting priorities identify the institutional capacity constraints or Despite various efforts made by AACCSA to challenges that the project and/or other efforts secure government support and participation at DEVELOPING STAKEHOLDER PARTICIpaTION, INCENTIVES and organizational support 17 Table 17. Example of Change Process for Organizational Arrangements Priority institutional Sample new behaviors, relationships, Sample agents of Sample capacity capacities and final processes and actions to support change development activities outcomes to support change capacity development Communications and • New communication strategy • Business • Communication stakeholder relations implemented associations strategy • Increased implementation know-how • Members • Production and Needed final outcome: for conducting needs assessment dissemination of Improved systems for • AACCSA staff informational kits on business communication key issues and needs assessment • Member consultations Adaptability in • New knowledge on reforms acquired • Business • Expert identification anticipating and associations • Action steps formulated to integrate • Studies on key reform responding to change new knowledge in business • AACCSA staff issues programs and services Needed final outcome: • Participatory workshops Improved adaptability to and knowledge incorporate new knowledge exchange and innovation on reform • Planning sessions issues every stage of project operation, the decision- Design activities that address what is needed, making process in engaging with government and not what is missing other leaders remained unclear. The team stressed Prior to the review, the project had focused the need to better understand the institutional on training as the main solution for capacity capacity constraints or challenges in this area, development. The team saw that capacity how to navigate the political process, gain access development is a strategic and transformational to decision-makers and lawmakers and build a process to unblock constraints and help feasible strategy for the capacity development to stakeholders achieve new, positive institutional achieve goals. capacities for reforms. Identify local agents of change from the start For capacity development to happen the team AACCSA saw identifying such agents at the would need to specify needed outcomes at the project’s start enabled locally rooted results. It also institutional level and then think through how provided for a collaborative local planning process different types of innovative activities, not just based on mutual stakeholder understanding training, could support changes towards these on how to manage local changes the project outcomes. More follow-up action was needed to intended to support. discuss and plan appropriate activities. 18 Consultations in results-focused capacity development For real institutional change to occur, the management of change and design of capacity development activities must address not what is missing, but what is needed. Coalition Building To Enhance the Role of Non State in Development Strategies and Programs Participatory Review of Capacity Development Project: Non-State Partnership Under the Cotonou Agreement • African, Caribbean and Pacific (ACP) countries signed the Cotonou Partnership Agreement (CPA) with the European Union (EU), including provisions for partnership with non-state actors in development policy and strategy. In Ethiopia, it was important to build institutional capacity to improve the emergence of an active and organized non-state sector, to partner with the government and European Commission (EC) in a tripartite process. • Through a participatory review using a results-focused approach to capacity development, the capacity development project team diagnosed institutional capacities and identified needed final outcomes and local agents of change to support the capacity development process and project planning. • Findings identified local lessons to improve the effectiveness of capacity development activities; strategic planning; multi-stakeholder coordination; and local understanding of institutional capacity constraints and priorities. Background ciples are: equality of the partners and ownership of development strategies; inclusive participation, The CPA is a global policy framework that focuses with governments as the main partners and part- on poverty reduction, sustainable development nership open to non-state actors (NSAs); dialogue priorities and regional integration among 79 ACP and the fulfillment of mutual obligations; and local countries and the EU. The CPA addresses three differentiation within regional integration pillars of partnership: development, economic and political cooperation. Issues addressed within While Ethiopia signed the CPA, inclusive participa- these areas include country fragility and security, tion of NSAs—especially CSOs—remains weak in challenges to meeting the Millennium Devel- aid cooperation and development programming. opment Goals (MDGs), climate change, trade A capacity development project began as part of relationships, inclusive partnership from all sectors non-state efforts to support CPA provisions that and aid effectiveness. provide for NSAs to participate in a tripartite development dialogue with the central govern- The CPA governs countries’ partnership with the ment and EC. The provisions enhance the role EU on development issues. Its fundamental prin- of NSAs in shaping national public policies to Coalition building to enhance the role of non state 21 Table 18. Stakeholders Stakeholders Why their involvement is important Government offices and local public agencies Influence NSA role on development issues; involved in the implementation of EU-supported poverty reduction projects NSAs, particularly those engaged in good governance and Expected to benefit from the project, implement poverty reduction actions the project and/or be represented by the coalition coordinating the project EU, donors Initiated CPA and influence funding Media and communications officers Share information on NSA activities and EU support Other CPA countries Share lessons learned support poverty reduction, signifying a shift from of sustainable development and to gradually development driven by the state to a broader integrate ACP countries into the world economy. sharing of responsibilities. Within this, the country goal is to improve the emergence of an active and organized non-state The capacity development project builds on a sector that contributes to advancing Ethiopia’s range of knowledge and convening activities in country priorities for EU development assistance. East Africa and efforts by NSAs in Ethiopia to form This goal is part of Ethiopia’s commitment to the a coalition. In 2003, NSAs in Ethiopia established CPA framework. The CPA envisions a substantial an informal coalition to collaborate with the role for NSAs in the design and implementation of Ethiopian government and EU. The coalition development strategies and programs. focused on various activities concerning EU- Ethiopia development cooperation, mainly related Project Objective to partnership in development policy and strategy The objective of the capacity development project and aid effectiveness. This informal coalition was is to enhance the role of non-state in the formula- the Cotonou Task Force (CTF). tion, implementation and monitoring of economic, political and social policies. The project focuses In 2007, CTF initiated the capacity development primarily on NSAs that were involved nationally project reviewed as part of efforts to create an and/or regionally in different elements of poverty official, autonomous Non-State Actor Coalition reduction work addressed by the CPA’s pillars and (NSAC) to further facilitate CTF’s engagements sector areas. with the government and EC. For the project to be deemed a success, the In 2009, WBI, CTF and Poverty Action Network of participatory approach of the CPA will have been civil society in Ethiopia (PANE)—the CTF member translated into concrete action for NSAs in hosting the project—began reviewing the proj- Ethiopia: a recognized coalition of NSAs that ect using the Capacity Development and Results participates in negotiations with the EU and Framework (CDRF). The CDRF provided a results- government and represents NSAs in policy focused approach to build recommendations formulation and M&E of implementation within that could improve the overall effectiveness of the CPA framework. NSAs should be better able the project and related efforts, including strategy, to identify a priority development issue, develop implementation and orientation of project plan- a project or strategy and work effectively with ning toward the most needed results. the EU. Component Objectives Project Context Objectives of the project’s components are to: • Consolidate non-state participation in the Development Goal identification of obstacles and opportunities The higher goal is to reduce and eventually for NSA engagement in the tripartite dialogue eradicate poverty consistent with the objectives among the government, EC and civil society. 22 Consultations in results-focused capacity development • Support civil society in promoting more the CPA; the Ethiopian EU office and National effective NSA engagement on a given issue, Authorizing Officer to the EU are key partners. project or strategy, as well as on how to work The Ministries of Finance and Capacity Building effectively with the EU. are also involved in the design and M&E of the project. Stakeholders Stakeholders See table 18. Implementing Agency The coordinating body for the project is the CTF Level of Commitment coalition of NSAs, now officially called NSAC. The In the government’s view, the goal demanded coalition unites non-state members elected from innovative provisions that amount to a substan- a general assembly. It has significant geographical tive change in process, that is, the consultation of reach for wide representation across the country. civil society on economic, social and institutional reforms and policies. There was some hesitancy to The coalition members include: include NSAs in such meaningful consultation. • Government-affiliated, regional-based membership organizations—Relief Society of The CTF coalition members led meetings of NSAs Tigray, Oromo Development Association and to discuss and agree on the project objective and Oromo Self Help organization how to support the goal. The NSAs were commit- • Umbrella organizations—Network of Women ted to more inclusive partnership and dialogue on Associations In Ethiopia and PANE development strategies, but they were concerned • Local NGOs—Tri Dimensional View, Association that the diversity of views among NSAs could for Forced Migrants and Initiative Africa affect common understanding around the goal • Accord Ethiopia, a national affiliate of an and needed results. international NGO Meetings about the project were generally orga- PANE is the non-state CTF member responsible nized under the auspices of the EU. for the project’s financial arrangements. It focuses on engaging CSOs in policy processes related to Issues Raised in Review poverty reduction. PANE has more than 50 Ethio- Local stakeholders were concerned the EU’s pian resident and international CSOs as members. priorities would dominate the project because the development goal is part of the larger policy Partners framework set outside of Ethiopia. They also An EU fund supports the capacity development remarked upon the challenges of engaging NSAs of NSAs to participate in the implementation of from different regions of the country for proper Table 19. Capacity Area: Stakeholder Ownership Characteristics/Challenges/Outcomes [Demand Side] Characteristics Challenges Final Outcomes Commitment of • Limited government support to provide significant role to Strengthened government and political and social NSAs in policy design, implementation and monitoring. EU commitment to long-term leaders NSA partnership • Limited financial commitment to support NSAs to play the roles foreseen for the CPA, such as facilitating national dialogue on development issues. Stakeholder • Lack of participation by NSAs in informing the priorities Enhanced NSA participation in participation in of the EU and government development programs in the EU and government setting priorities Ethiopia. development dialogue Compatibility of • Hesitancy of individual NSAs to participate in Improved willingness of individual social norms and development debate amid concerns about losing NSAs and local leaders to voice values funding or national position if their opinions are not issues at a collective level accepted. Coalition building to enhance the role of non state 23 Table 20. Capacity Area: Policy Instruments Characteristics/Challenges/Outcomes [Supply Side] Characteristics Challenges Final Outcomes Clarity in defining • Weak guidance for EU country delegations, NSAs and Improved clarity on NSA rights rights and government on ways to involve NSAs in CPA programs and responsibilities to participate responsibilities of and dialogue and mechanisms for monitoring NSA input in the CPA at country level stakeholders in the CPA. Legitimacy • Dialogue between the EU and government on the CPA More transparent steps to share lacked NSA input as well as processes for information information on CPA decisions for sharing with NSAs; NSAs believed information that may non-state input be important to local implementation was often not shared. Consistency • Possible inconsistency of Ethiopia’s CPA commitments Greater stakeholder at the international level with other national policy understanding of how CPA is governing NSAs. supported by national policies Incentives for • Non-state engagement under the CPA was seen as Improved incentives for collective compliance fragmented and non-representative; without incentives and organized NSA participation for meaningful partnership among NSAs, provisions for NSA input into the CPA’s implementation would remain ineffective. Table 21. Capacity Area: Organizational Arrangements Characteristics/Challenges/Outcomes [Supply Side] Characteristics Challenges Final Outcomes Clarity of mission • Lack of vision or joint approach of NSA stakeholders for More coherent and representa- collective participation in CPA. tive NSA mission to support the goal • Concern with sustainability of building a formal coalition arrangement. • Difficulty in uniting interests of large number of NSAs nationally. Communications and • NSAs have weak partnerships to collectively participate Expanded and aligned NSA stakeholder relations in the arrangements described by the CPA, and to inform networks to support the goal dialogue according to their knowledge area, sector or comparative advantage. Operational • Weak operational capacity of NSA coalition’s secretariat Improved operational capacity efficiency to engage in CPA, in terms of expertise and knowledge of NSA secretariat in supporting management. the goal Financial viability • Coalition needs for business plan with financial model to Better financial arrangements and probity sustain its efforts. to support coalition and NSA activities • Need for process to ensure that funds are fairly distributed to NSAs. 24 Consultations in results-focused capacity development representation and bringing them together to Diagnostic Debriefing collectively address issues. The local team’s review of the diagnostic findings Although commitment to the goal from imple- raised key considerations: menting NSAs and the EU was strong, additional commitment by government offices, local Use the diagnostic to better understand public agencies and a wider spectrum of NSAs institutional capacities was important for NSAC’s success. Overall, the The review helped the team to understand goal seemed to have a different local meaning different institutional capacity constraints and key for stakeholder groups, and more togetherness bottlenecks related to the goal, and how they around the goal and what needed to be achieved could be used to improve future project planning was important for the best possible results. and the design of capacity development activities. Develop stakeholder ownership and incentive- Institutional Diagnosis related institutional capacities Originally the project focused on the organiza- The local team reviewed challenges in terms of tional capacities needed to develop a coalition. demand and supply side constraints across the However, the team saw that future project institutional capacity areas. These challenges activities needed to address inter-related institu- could be addressed by capacity development. tional capacities of stakeholder ownership and incentives that are critical to enable non-state Stakeholder Ownership stakeholders to effectively support the goal. This How strong is it to support the goal? was an unexpected finding for the local team. The local team identified key social and political issues that affected stakeholder ownership—lim- Use the diagnostic to prioritize institutional ited leadership commitment, low participation of capacity constraints NSAs in development dialogue and social norms Considering the vast number of institutional and values related to the willingness of NSAs to capacity constraints revealed by the diagnostic engage in debates (table 19). and limited budget, the team needed to prioritize its focus. Top priorities for initial review included: Policy Instruments • Commitment of leadership How efficient are they in guiding stakeholders’ • NSA participation in CPA decision-making behavior to achieving the goal? • Clarity of rights and responsibilities of NSA There was a lack of clarity on how to engage NSAs stakeholders and several concerns about the CPA provisions • Consistency of CPA policy with other national that guide NSA stakeholders to partner in devel- policies opment cooperation. These concerns about the • Incentives for NSAs to partner and provide CPA provisions included their legitimacy, inconsis- collective inputs tency with other national policy, and incentives for • Organizational capacities for NSAs to support stakeholders in terms of encouraging collective the CPA, such as communications and and organized input from NSAs (table 20). stakeholder relations and appropriate financial management of the NSAC and secretariat Organizational Arrangements How effective are they in achieving the goal? Develop a results framework specific to The organizational arrangements for NSAs to sup- capacity development port the goal faced key challenges: the mission of The diagnostic highlighted the importance of a NSAs to address the goal as a coalition was weak; community-owned and -generated strategy, as networking, partnership and communication ar- well as indicators to measure how constraints in rangements among NSAs were limited; the opera- institutional capacities could be changed by the tional efficiency of the coalition to formally engage current capacity development project and/or in activities to support the goal was limited; and future related efforts. appropriate financial management of the coalition and non-state grants was needed (table 21). Coalition building to enhance the role of non state 25 Final Outcomes Selection Issues Raised in Review The team realized it was unproductive to engage The local team used the diagnostic findings to local actors at mass in project activities. Rather, it determine final outcomes important to the proj- was more cost-effective and efficient to support ect’s success (tables 19–21). This task addressed selected local agents who could develop unique final outcomes needed to change each major potential to direct change. Select agents could institutional capacity constraint; possible indica- promote strong community involvement and tors of these outcomes; and potential actions stakeholder participation as well as facilitate new taken by the NSAC based upon the review of learning and communication on the part of civil findings to improve the capacity development society, government and other stakeholders to effort (figure 3).. influence willingness to act, opinions, knowledge and actions. There was also a strong feeling that Issues Raised in Review peer-to-peer exchange could transform behaviors, The team realized it needed to develop a relationships and actions to support the goal. participatory framework for NSA strategic planning, M&E and reporting on the goal that could include: Management of Change • A set of final outcomes, objectives and indicators for NSA support to the goal, Using the review, the local team identified new developed in conjunction with leading NSAs, behaviors, relationships, processes and actions sector experts, government, the EU and other that might enable agents to achieve priority final stakeholders. The final outcomes, objectives outcomes. This understanding helped to outline and indicators should reflect institutional a possible change process: Identifying results capacity constraints, focusing on the top needed from the capacity development to clear priorities for the capacity development rather obstacles to the goal of CPA partnership; local than every challenge. agents that could support these results for NSAs; • A process for participatory monitoring, and types of changes or capacity outcomes that measurement and review of changes in might be catalytic in the change process and need institutional capacities that is conducted jointly to be advanced by activities on the ground. by NSAs and government. The team also better understood how to use Agents of Change limited funds to support timely and most The project team identified local agents that could needed results. Previously a large number of drive specific changes to achieve the project’s activities were planned that did not always help outcomes (table 22). to move the capacity development toward the Figure 3. Example of Final Outcome and Indicator for Stakeholder Ownership Development goal: To improve the emergence of an active and organized non-state sector that contribute to advancing Ethiopia’s country priorities for EU development assistance Institutional capacity area: Stakeholder ownership Characteristic related to key challenges or institutional capacity constraint: Stakeholder participation in setting priorities Needed final outcome: Enhanced NSAs participation in EU and government development dialogue Proposed indicator: Percentage of annual CPA planning, imple- mentation and monitoring meetings in which NSAs participated 26 Consultations in results-focused capacity development Table 22. Agents of Change and Their Roles Agents How they are expected to support change Civil society leaders Advance role of NSAs in development agenda Coalition coordinated by NSA Secretariat, now Engage NSAs collectively on desirable CPA issues officially the NSAC Parliamentarians, top civil servants, and elected Support NSA role in implementing CPA activities officials working in development and good governance, particularly from Ministries of Finance and Capacity Building Local experts with experience in the content Have passion and knowledge on CPA issues, which can motivate and areas inform NSA engagement Public opinion leaders, such a journalists, Influence opinions about CPA reforms through reporting and public community heads, others dialogue Ethiopia EU office and National Authorizing Support NSA role in implementing CPA activities Officer to the EU most needed new behaviors, relationships, goal, rather than international best practices that processes and actions. The team could re-plan did not fit the local context. or consolidate these activities. New learning was also needed on types of activities that could be developed beyond training and technical support. Lessons Learned Tables 23–25 show examples of a local plan to The team learned from the participatory review manage the changes needed for the capacity how a results-focused approach to capacity devel- development. These examples list the most opment could be used to: important, or priority, constraints that came out of the review. By focusing on these priorities, the Better understand institutional capacity team can plan targeted capacity development constraints activities to drive changes for results. By reviewing the goal and stakeholder commit- ment in the local context and how these relate to Issues Raised in Review institutional capacity constraints, the team better To date, non-state activities remain fragmented, understood complex institutional capacity con- but the NSAC is dedicated to advancing the goal. straints that might block non-state contribution to The review reinforced the need for NSAs to come results at the country level. The team saw how such together and organize their response to the range a diagnosis could help a project or whole sector to of institutional capacity constraints. Using a results prioritize the capacity development. framework to guide the collective action of NSAs was also seen as important to help NSAs, as well Understand institutional capacities as government and other stakeholders, to learn comprehensively about what works for developing institutional The project originally focused on organizational capacities that support the goal. capacities needed to develop a coalition. Through the review the team saw they had missed other The team also recognized: critical institutional capacity constraints, and future • The review could inform future planning and project activities would need to address ownership NSA activities related to the CPA. and policy-related constraints more thoroughly. • Initial project planning did not effectively acknowledge the importance of government as Support multi-stakeholder strategies and a co-agent of change, together with civil society. planning • Local actions offered more practical starting The local team saw that a results-focused approach points for engaging in activities to address the to capacity development supported a transparent Coalition building to enhance the role of non state 27 Table 23. Example of Change Process for Stakeholder Ownership Priority institutional Sample behaviors, relationships, Sample agents Sample capacity capacities and final processes and actions to of change development activities outcomes to support support change capacity development Commitment of political • More confidence of leaders on NSA • NSAC • Tripartite meetings on and social leaders engagement in the CPA • Top CPA planning • New steps to plan NSA partnership government Needed final outcome: in the CPA officers Strengthened government and EU commitment to • EU long-term NSA partnership representatives Stakeholders participation • New motivation to engage with • NSAC • Roundtable meetings in setting priorities tripartite partners • Top • Knowledge exchange • Expanded participatory process government events Needed final outcome: officers Enhanced NSA • Improved consensus and teamwork participation in the EU and among NSAs and government • EU government development representatives dialogue Table 24. Example of Change Process for Policy Instruments Priority institutional Sample behaviors, relationships, Sample agents of Sample capacity capacities and final processes and actions to support change development activities outcomes to support change capacity development Clarity in defining rights • New participatory process initiated • Leader in NSAC • Formation of subgroup and responsibilities of on NSA guidelines • Top • Working group stakeholders • New knowledge and understanding government meetings of the CPA officers Needed final outcome: • Technical support and Improved clarity on NSA • Expanded stakeholder collaboration • EU training to improve CPA rights and responsibilities representatives guidance • New guidance formulated on NSA to participate in the CPA at engagement • Consultations with country level NSAs Consistency • Improved understanding on how • NSAC members • Study on policies policies apply in practice • Top • Workshops to discuss Needed final outcome: government policies Greater stakeholder officials understanding of how • Information the CPA is supported by • Local experts disseminated to NSAs national policies Incentives for compliance • New guideline proposed to • NSAC • Tripartite meetings on streamline NSA inputs into the CPA the CPA • Top Needed final outcome: • New partnership arrangement government • Discussion on how to Improved incentives for supported officers provide for incentives in collective and organized the CPA structure NSA participation • EU representatives 28 Consultations in results-focused capacity development Table 25. Example of Change Process for Organizational Arrangements Priority institutional Sample behaviors, relationships, Sample agents of Sample capacity capacities and final processes and actions to support change development activities outcomes to support change capacity development Communications and • Expanded coalitions’ network • NSAC • Membership strategy stakeholder relations • Expanded NSA understanding of • Civil society for coalition CPA opportunities and NSA needs leader • Outreach meetings Needed final outcome: with NSAs Expanded and aligned NSA • Formal partnerships created with networks to support the NSAs across range of intervention • Information-sharing goal areas sessions with NSAs • More confidence of NSAs to • Meetings/forums/ propose inputs for the CPA event to exchange knowledge Financial viability and • New process established for NSA • Coalition staff • Consultative meetings probity grants • Coalition • Training and technical • Business plan developed members support for secretariat Needed final outcome: Better financial arrangements to support coalition and NSA activities and collaborative process to identify challenges, development was well designed. A coherent plan institutional capacities, capacity indicators, objec- would then guide activity and platform develop- tives and capacity outcomes. NSAs together with ment, including new, diverse support for innova- the government could use a local version of such tion, knowledge exchange, coalition building and an approach to improve strategic planning and other activities. results management for capacity development and plan roles for major stakeholders to contrib- Facilitate learning and knowledge management ute to institutional changes. on capacity development The review showed the value of using results- Improve aid effectiveness and ensure effective focused capacity development tools to document planning of activities and platforms project experiences and exchange knowledge on The review helped the team understand how to what works and does not work to achieve results in use limited funds to support results that were a specific context. Overall the team saw this as an timely and most needed in key institutional areas. effective and locally customizable tool that could Using a results-focused approach at the start of be tested for systematic knowledge management any new planning process would ensure capacity on capacity development practices. Coalition building to enhance the role of non state 29 30 Consultations in results-focused capacity development appendix 1 Overview of Capacity Development Process The CDRF provided the conceptual foundation for Figure 4. Capacity Development Process the participatory reviews of the three capacity de- velopment projects in East Africa. The key aspects Development Goal of the CDRF are briefly described. Development Actions Definitions of capacity and capacity Sup s ion ply development s t itutholder • In cre Inst In ke po ase e ituti and a • Capacity is the availability of resources and the hen st • Im licy in fficie ons Dem ngt p Stre rshi pro stru ncy o org ve e men f efficiency and effectiveness with which societies Resources • owne aniz f nal t atio fective s nes arra s of deploy these resources to identify and pursue • Financial nge men • Human ts their development goals on a sustainable basis • Technology Agents of Change • Capacity development involves the empower- • Infrastructure • Raised awareness ment of societal actors through learning, Intermediate Capacity Outcomes • Enhanced skills • Improved consensus and teamwork knowledge, information and innovation to • Strengthened coalitions • Enhanced networks effect transformational and sustainable change • New implementation Knowledge Services know-how in institutions, which in turn supports the achievement of the development goal Main elements of the framework • Specific development goal that has stakeholder Change process ownership and strategic relevance • Knowledge services help make progress toward • Stakeholder ownership, policy, and organiza- development goals by empowering agents of tional related capacity areas and their contribut- change to affect capacity areas ing characteristics that can be used to assess • Agents of change can be empowered capacity, develop objectives, inform design and through transformational learning—the use of measure results knowledge, information and innovation—not • Change process, that is, the process by which just through resource inputs knowledge empowers agents of change to • Changes in capacity can stem from adaptation bring about results toward a development goal or innovation by individuals and organizations; • Role of agents of change, that is, influential changes in the behavior of political, social and individuals, groups, networks or organizations economic actors; and shifts in belief systems, that can initiate or drive the change process power balances, and societal relationships • Measurable intermediate capacity outcomes that guide the design of activities and help Measured results identify when program adjustments are needed • Final results or impact is measured in terms of changes in institutional capacities using a Comprehensive approach to capacity standardized set of capacity indicators • Three broad institutional capacities are the • Six intermediate capacity outcomes are targets of capacity development efforts. measured at milestones in a program or 1. Strength of stakeholder ownership for strategy; they measure changes in behaviors, development goal (demand institutions) relationships, processes and actions. 2. Efficiency of policy and other formal incentive 1. Raised awareness instruments that guide stakeholder behavior 2. Enhanced knowledge and skills toward goal (supply institutions) 3. Improved consensus and teamwork 3. Effectiveness of organizational arrangements 4. Strengthened coalitions established to achieve goal (supply 5. Enhanced networks institutions) 6. Increased implementation know-how overview of capacity development process 31 32 Consultations in results-focused capacity development appendix 2 Outline for Participatory Review of Capacity Development Projects Each review included a series of guided discussion 2. What development goal does the project help meetings and workout sessions to develop joint to advance? learning on results-focused capacity development. 3. How does the project relate to sector, country The CDRF’s results-focused approach guided the or regional priorities? What are other develop- collaborative process. ment activities that relate to the project? 4. What is the project expected to achieve? The process consisted of sequenced questions Could you describe what success looks like? and exercises that helped the project team review What would you like to see at the conclusion the design of the project through a results- of the project? focused lens. In particular, the review addressed 5. Who are the stakeholders? Why is their how the project could best contribute to the man- involvement important? What is their level agement of capacity development and needed of interest in or commitment to the project? outcomes. Development practitioners could Could you explain how the main stakeholders adopt a similar method for conducting their own participated in the project’s development? review of a capacity development project. For example, in meetings, consultations and other activities. Discussion 1: Review project context, stakeholders and development goal Could you also share any materials that will help us to further understand the project? Examples The first meeting provided a rapid review of the include concept notes, project documents and context, stakeholders and goal, an important annual reports. step to verify stakeholder commitment to the goal and align the project with local needs and Discussion 2: Review institutional priorities. capacities Discussion Questions In this workout session the team reviewed the 1. What is the context of the project? Include challenges addressed by the project and used the main reasons for starting the project; them to understand institutional capacities and challenges the project addresses; objectives; demand and supply side constraints that relate to geographical area; implementing agencies the goal. Table 26 provides institutional character- and partners; and funding. istics to group challenges and guide this process. Table 26. Institutional Characteristics to Group Challenges and Identify Institutional Capacity Constraints DEMAND INSTITUTIONS SUPPLY INSTITUTIONS Contributing to the Strength of Contributing to the Efficiency of Contributing to the Effectiveness Stakeholder Ownership Policy Instruments of Organizational Arrangements • Commitment of political and • Clarity in defining rights and • Clarity of mission social leaders responsibilities of stakeholders • Achievement of outcomes • Compatibility of social norms • Consistency • Operational efficiency and values • Legitimacy • Financial viability and probity • Stakeholder participation in • Incentives for compliance setting priorities • Communications and stakeholder • Ease of administration relations • Demand for accountability • Risk for negative externalities • Adaptability in anticipating and • Transparency of information to responding to change stakeholders • Flexibility in addressing varying situations • Resistance to corruption outline for participatory review of capacity development projects 33 Key Questions Key Questions 1. What are the main challenges related to the 1. What outcomes are needed for the project to goal and success of the project? change specific constraints? 2. How do these challenges relate to demand 2. What measures could be used to determine and supply side institutional capacities? success? What data sources could be used? • Strength of stakeholder ownership 3. Are the needed outcomes already in the (demand) project? • Efficiency of policy instruments in guiding 4. What actions could be taken to improve the stakeholder behavior (supply) project? • Effectiveness of organizational arrangements (supply) Discussion 5: Review agents of change 3. How do these challenges relate to institutional and local change management plan characteristics and specific institutional capacity constraints? In this workout session the team reviewed the agents of change, that is, the local actors that can Discussion 3: Review findings of drive specific changes to achieve the project’s institutional diagnosis outcomes. The workout addressed the role of these agents; new behaviors, relationships, The team discussed diagnostic findings and processes and actions needed for their success; reviewed which constraints the project needs and how activities can help them to drive change. to change. The team also identified how new understanding around constraints could inform In all, the team examined elements needed stakeholders and improve the project’s design to map the change process for a capacity and results. development project, and how to use this step to improve implementation and results management. Discussion Questions 1. Are the constraints revealed already Key Questions addressed by the project? 1. What leaders, groups or organizations need to 2. What actions could be taken to deepen under- be involved in driving changes to achieve the standing around institutional capacities that project’s outcomes? relate to the project? 2. How are these agents expected to support 3. How could a better understanding of change? constraints help to improve the project? 3. What new behaviors, relationships, processes and actions are needed for their success? Discussion 4: Review final outcomes for 4. What capacity development activities are capacity development in the project, and how do they help local agents? This workout session addressed the needed 5. How might this understanding help to final outcomes of the capacity development improve the management of change in the that is expected to change institutional capacity project? That is, how will planned activities constraints. The team identified possible final help local agents achieve needed outcomes outcomes and measures to determine success and changes in institutional capacities? (including data sources) and actions that could adjust the project to address these outcomes more effectively. 34 Consultations in results-focused capacity development appendix 3 Preliminary Consultations on the Project Experiences WBI held a consultative workshop on the capacity have the most potential to help bring about development projects in Ethiopia with leaders and long-term changes in capacity. practitioners from organizations engaged in the planning, delivery and M&E of capacity develop- Collaborative results frameworks and strategies ment programming in East Africa. for capacity development • Results-focused tools that form a basis for The collective input from this consultation, sum- national consensus building and dialogue marized below, offered preliminary recommen- (such as through coordinated national and sub- dations from practitioners in the field on how national forums), to develop indicators that results-focused capacity development tools could assess and strategically align stakeholders to be applied to improve capacity development the most needed results at the national level. practice. Practitioners showed a sense of urgency • Common monitoring, evaluating and reporting to change practice and results as well as deep methods for capacity development to record concern for the current lack of strategy and focus. changes in outcomes and impacts, including methods to compare results and extract lessons More focus on upfront visioning for capacity learned. development • Agreement on national outcomes for capacity • Results-focused tools to help improve how we development that support local actors to engage stakeholders in visioning around the more innovatively address these results and goal from the start, in turn building stronger consequently increase their ownership and local commitment and understanding of what confidence in capacity development processes. results are desired. Programs are often defined in terms of functions, which prevents local organizations to Integrated, results-focused tools for program engage in new ways of meeting needed results. management and planning • Local tools to complement existing program Focused and strategic knowledge management management tools used in country and to and learning assist teams in integrating institutional capacity • Results-focused tools to document existing diagnosis within the planning process. capacity development experiences and identify • Local tools for multi-stakeholder and cross- lessons learned in a clear and systematic way. sector planning, specifically to engage • Results-focused tools that guide the review stakeholders from different sectors in of capacity development projects, including developing collaborative national strategies identifying objectives and learning activities, for capacity development that identify priority so they more effectively address development results for development goals. goals and institutional capacity needs. • Testing of capacity development programs and Improved program design and implementation activities to determine what works and does not • Local learning on good practice steps for work to achieve needed outcomes and impact. capacity development programs to address institutional change or institutional capacity constraints, rather than only training and learning activities that are not linked to higher- level changes. Expanded focus on local agents of change • Support for program managers to focus capacity development programs on identified leaders, groups, organizations and others that preliminary consultations oN THE project experiences 35 The World Bank Institute drew on its Capacity Development and Results Framework to conduct reviews of three distinct capacity development projects in East Africa with local project teams. Through the reviews, local partners learned how the application of locally adapted, results-focused tools could help their capacity development projects achieve the most needed results. Development practitioners and partners can apply the lessons learned from these reviews to help improve the design and implementation of their own capacity development programs.