This document discusses capacity needs assessment and strengthening for evidence-based agricultural policymaking. It provides an overview of capacity at the individual, organizational, and systemic levels. A framework is presented that maps the policy process and where research can inform it. The document also outlines approaches for conducting capacity assessments and developing capacity strengthening strategies. Key questions are raised around strengthening national capacity systems and assessing capacity needs at different levels.
2. IFPRI
Regional Strategic Analysis and
Knowledge Support System
(ReSAKSS) is a knowledge
management platform
Strategic analysis to inform policymakers
Knowledge management systems to ensure that
the strategic analysis and other relevant knowledge
products are translated into public goods
Capacity strengthening through support for
the country CAADP Roundtables,
establishment of country SAKSS
programs/nodes
3. Capacity Impact through SAKSS
Identify the capacity needs
Design strategic capacity strengthening
activities
Establish a monitoring system
Evaluate the costs and benefits
Assess Impact of Capacity Development
Cost-effective - strategic indicators to track
capacity impact
How to accomplish this – through SAKSS?
4. Broad Development Contexts for GRP
MDG approach to Capacity Development
World Food Summit Goals
Sectoral/Rural Development Strategies
(IAC)
New Development Initiatives (NEPAD, Blair
Commission)
World Trade Negotiations/Biotechnology
Institutional Development (e.g NARS)
5. What is Capacity?
Policy-Enabling
Environment
Ability to perform
functions necessary
for setting and
meeting
Organizational
goals/objectives Individual*
* At the individual level, capacity is the sum total of
ability, motivation, attitude and incentive
6. Definition
“Capacity strengthening is the process by which
individuals, groups, organizations, institutions, and
societies increase their abilities to:
Perform core functions, solve problems, define and
achieve objectives
Understand and deal with their developments in a
broad context and in a sustainable manner.”
(UNDP, 2000)
7. Capacity Strengthening as a Development
Process
Rationale: Why development fails?
» Capacity is an essential element in the
development process
» Capacity as a missing element
Green Revolution in Africa
Structural adjustments in Africa
Agricultural research systems in Africa
8. Challenges to Capacity Strengthening
Limited Resources to build capacity
Low levels of inherent capacity
Capacity erosion
Capacity utilization
Capacity transformation
Levels and impact
9. Paradigms of Capacity Development
Nation/State Building – Fukuyama; Levy
National Capacity for Governance – Dia; Grindle
Policy and Civil Society Reforms – Ul Haque & Aziz
Human Capital Development – Mashelkar; UNDP; Barro
Institutional Development- Isreal; Easterly
Historical Perspectives- Eicher; Chang
Supply/Demand Paradigm
10. Pathways from Development Goals
to Development Outcomes
Current Levels of
Developmen
Capacity
t Goals
Capacity
Maintenance/Retention
Identifying Gaps
Capacity needs
Capacity Development/ creation Capacity
Utilizatio
n
Capacity Monitoring
Developmen Capacity/ Impact Evaluation
t Outcomes
11. Capacity Assessment for SAKSS
Institutional mapping of existing capacity
Identify capacity gaps
Ex-ante analysis of benefits and costs of
capacity
Guidance on where to invest and how?
Set up a monitoring and evaluation system to
track capacity development
Assess impact of capacity development
Learning for Change
12. Capacity Development Cycle
Priority
Setting
Revise & reformulate Implementation
approach/ target group
Evaluate/ assess
impact Monitor progress
Impact on the
ground
14. CREATING A PATHWAY FOR SAKSS!
Empowers CADDP countries to build and implement
functional SAKSS by providing:
1. Independent expertise – for strategic analysis and
Knowledge management
2. Capacity building
3. Credible information to policy makers, stakeholders, end
users and key opinion leaders for informed decision
making
4. Experts are policy researchers, analysts, economists
and policy advisors, policy makers
15. Agricultural System Capacity
External environment
State of country development and other conditions
Legal and Policy support Outcomes
Outputs
Process •Effective
Inputs
•Sector-wide agricultural
•Resources •Agriculture policies
strategy
•Infrastructure sector planning •Financial
•Improved
•Leadership •Agriculture self-reliance
human resource
•Existing policy making •Meeting Sustainabl
availability
•Resource e
agriculture- •Coordinated client needs
related policies generation •Effective Agricultur
donor
•Information/ •Donor resource al Systems
interventions
Coordination
communication •Timely analysis allocation
systems •Multi-sector •Effective
and
collaboration use of
dissemination of
research results information
16. Mapping Capacity for SAKSS in the Countries
Inputs Processes Outputs Outcomes
System level Long – term commitment (for Policy process is in place and National strategies and programs Improved and informed
example donor commitment) actors and players identified decision making based on
evidence
Organizational Leadership and successful Appropriate strengthening of Trust and Partnership with actors Collective action used for
level management of the various capacities and units for and players in the policy process achieving organizational
organizations involved in the functional objectives (for example,
SAKSS network Suitable partnerships, working better prices for f farmers)
Initial focus on simple activities; arrangements, improved systems
Recognition and strengthening inputs, technical support, joint of planning, budgeting, policy Group homogeneity
groups/organizations and liability for credit making, and monitoring and accomplished
ensuring full involvement ( evaluation
ministries, research, Promote local organizations that
universities, private sector, of provide additional services
farmers with legal arrangements (financial and market information
services)
Personnel / Number of staff related in each Provide training programs on Capacity building of Individuals Improved feedback of
Individual level professional category related to analytical and M & E skills for (for example, increase in services from rural producer
SAKSS activities: SAKSS bargaining power of smallholders organizations/ farmers to
to negotiate better prices) extension agents and other
Strategic Analysis Data collection, processing, and knowledge generators
Knowledge Management analysis process Increase in the number of
Monitoring and Evaluation professionals in SAKSS activities Poorest individuals able to
Capacity strengthening Policy analyst – policy maker participate in regional and
interaction Policy analysts motivated to international l market /
address farmer needs exchanges
17. Capacity Strengthening Strategy – Key
Needs
Capacity Needs Assessments
Institutional Capacity Reviews and Assessments
Capacity Measurements – Capacity
Development Indicators
Capacity Strengthening Methods – What works
and why?
Capacity Monitoring and Evaluation
Impact Assessment of Capacity Strengthening
projects
18. Food Policy Research Framework
Partners, CGIAR, Influence on
Research policies
stakeholders
Capacity
strengthening
Policymakers,
Policy media, opinion
leaders, and Impact on
communication poor people
IFPRI
INTERNATIONAL FOOD POLICY RESEARCH INSTITUTE Page 18
19. CAADP Country Level Implementation
Pillar Input
Pillar Input Pillar Input
Engagement Evidenced
process Based
Planning Improved
Country Programmes…
Country
Programmes…, Institutional arrangements Programmes/
Institutions, Policies, etc… Investments
PRSPs And
SWAPs… Building Implementation, Implementation
Alliances with M&E, arrangements
Investors Peer Review
Pillar Input
Pillar Input
Pillar Input
20. Changing Policy Needs Scenario
Countries moving towards high value
agriculture
Need for strengthening policy process for
evidence-based policies
Productivity related policies
Climate change, environment and
sustainability policies
Role of trade, market, and private sectors
Safety nets policies
21. Capacity Issues and challenges in
Policy Process
Policy agenda setting for the
government
Setting policy research priorities
Helping in policy design based on
evidence
Policy implementation
Policy monitoring and evaluation
Policy revisions and refinements
22. A conceptual framework
Policy research needs to be placed in the
context of policy process – Capacity Value
Chains
What types of policy processes exist?
What are the elements of the policy
process?
How does research fit in the policy process?
How researchers and policy makers
interact?
Where are the capacity gaps?
23. Linear Model of Policy Process
Source: Adopted from Porter and Hicks (1995)
24. Interactive Model of Policy Process
Policy Issues
Policy Agendas
Decision Stages
Policy
Characteristics
Arena of Debates and Dialogues
Public Opinion/ Discussion Policy Outcome
Reject/Implement Policy Impact
Policy Makers Assess and Policy Managers
Mobilize Resources to Assess and Mobilize
Sustain Reform Resources to Sustain
Reform
Multiple Potential Outcomes
Source: Porter and Hicks (1995)
25. The Policy Research Cycle
Network of Linkages and alliances
collaborators in policy- 1. with policy makers,
research and analysis Identification political leaders, and
of Problems
and Priorities parliamentarians
6. 2.
Dissemination Research
for Policy Program
Impact Development
5.
Preparation 3.
of Research Research
Outputs and Study Design
Publications
4.
Data
Collection,
Processing,
Collaboration with and Analysis Linkages with external
stakeholders, NGOs, players, donor
CSOs, and media community, and global
research community
Political, Organizational, Institutional, and Cultural Context
26. Broad Stages of Policy Process and the Role of PROs
1.
6. 2.
5. 3.
4.
1.
1.
6. 2.
6. 2. Setting policy
agenda 5. 3.
5. 3.
4. 4.
Policy revision/ Policy analysis/
correction formulation
Stages
of
Policy
Policy monitoring/ Cycle Policy decision
Impact assessment making
1. Policy
implementation 1.
6. 2.
6. 2.
5. 3.
5. 3.
4.
1. 4.
6. 2.
5. 3.
4.
27. A Unifying Framework of Policy Process & the Role of
Global Agenda Setting
Regional Policy Problem Feedback? Research
Challenges
Country Level Policy 1
Priorities
Global, regional, national policy
Problem Identification networks
Policy learning and diffusion
4
Strengthening and mobilizing policy
entrepreneurships of actors &
players
1 Identify opportunities for policy
change
Look out for policy windows
Policy Agenda
Setting/ Policy
Decision
6 Content/
2 7 making,
Implementation
Ideas
Policy 8
Research/
Evidence
5 generation
3
Strengthening Advocacy
4 Institutional and Capacity
Strengthening and
Understanding /
Coalition of Policy makers,
Donors, Administrations
Advocacy organizations, NGOs,
2 CSOs
Rational Choice by Policy
Competition among these
makers? 5 subsystems
6
Political Process
Opportunities for 3
Policy Influence
External Factors Solution Feedback?
International and
Donor Influence Political, Administrative, Cultural
Context
28. Unifying Model of Policy Influence: Further Discussion
1 , 2 , 3 , 4 , 5 , and 6 are respectively the stages of Policy Research Cycle
Intensity of policy communications
+ + Linear Stage Heuristic Model of Policy Process
+ + + Interactive Country Concentration Model
+ + + + Multiple Stream Model
+ + + + Institutional Development and Rational Choice Model
+ + + + Policy Learning and Diffusion Model
+ + + + Policy Entrepreneurship Model ( Context, Content, Connectivity
+ + + Advocacy Coalition Model
+ + + + + + + Unifying Model of Policy Influence
29. State of capacities for evidence-
based policy making
Wide-ranging levels of capacity
Larger countries have more number
(not necessarily quality for policy
influence)
Most research capacity is academic
Policy capacity is limited
Existing capacity is not connected
well to policy process
Quality of capacity leaves much to
be desired.
30. What skills are needed to be effective
in the policy process?
Thematic skills
Analytical skills
Research skills
Policy communication skills
Policy advocacy skills
Policy process skills
31. What capacity needed for evidence based
policy making
Thematic capacity exists at all levels – high level of
interaction with global systems
Some research capacity in think tanks and academic
institutions
Analytical capacity needs improvement – Ministry of Food,
Ministry of Agriculture, Ministry of health and Family
Welfare
Project based capacity strengthening – at all levels – does
not add up
Academic institutions –Agricultural universities, need
capacity to build capacity
Limited connection of researchers to policy makers – policy
communications and advocacy need strengthening
32. Research – Policy - Capacity
Interactions
How do researchers understand the policy and political
context?
How do researchers get to know the policy makers and
actors?
How do researchers respond to demand?
Are they practical in their recommendations?
What is their strategy to establish their credibility?
What are the communications strategies?
How does the researcher and policy makers network to
bring evidence to policy making?
33. Some Thoughts
Translation of évidence in to action?
Capacity Value Chain approach to set prioritize
capacity strengthening for evidence based policy
making
Research and analytical capacity need to be placed
in the context of policy process
Understanding the various roles of institutions in
the capacity building process
Understanding and address the disconnect between
the policy research and policy making through
capacity strengthening
34. Broad Questions
Practical Decision Making:
• What kind of capacity and where
is it needed?
• How to develop capacity in a time
and cost effective manner?
35. Broad Questions for Capacity Assessment
Identifying the “gaps” and key capacity needs. How
have they evolved over time?
How do the national and local institutions
understand capacity gaps?
What are the principal barriers to capacity
development?
What factors influence evolution of capacities?
Where is capacity development necessary?
Does enough capacity exists to meet development
challenges?
At which level should capacity strengthening
activities be undertaken?
36. How do we Strengthen Capacity of National
Systems?
How can government reforms be undertaken so as to meet
the development goals?
How do we develop a core mass of policy analysts?
How does policy analysis capacity influence effectiveness of
civil service?
How can we transfer institutional capacity smoothly?
What policy and approaches will cost and time effectively
increase the capacity for development?
What environment & incentive factors contribute to
enhancing impacts from capacity building?
37. How do we Strengthen Capacity at the
National Level?
How to use regional and national networks
for capacity development?
Has nation-building approach to capacity
strengthening failed? Has it eroded local
capacity?
How do we structure the conditionality of
donors to create local capacity?
38. Approaches to Capacity Strengthening
Networking Approach
Individual Collaboration
Group Training Approach
Leadership Development
Policy Dialogue/Communication
Exchange visits
Institutional Development
Distance Education
39. Areas of Concentration for Capacity
Strengthening
Food and Nutrition Policy
Markets and Trade Policy
Production and Environment Policy
Governance and Strategy Development
National Agricultural Research Systems
40. Clients and Stakeholders
Types of Institutions
• National and regional research and
academic institutions
• National governments
• Self-governed networks
• International organizations
• Sub-national, municipal, and community
leaders
• Graduate academic institutions
• Tertiary, secondary and primary schools
41. Capacity Assessment Framework
Points of Entry : individual, Organization,
Policy process
Core Issue:– Productivity increases; and
Allocation of resources(leadership; policy
and legal framework; mutual accountability
mechanism; cross cutting issues ( human
rights)
Functional Capacities
42. Capacity Development Strategy
Capacity for evidence-based policy
analysis and strategy development
Capacity for Knowledge
Management
Capacity for monitoring and
evaluation
Capacity for communications
43. Capacity Assessment Method
Issues to be addressed
Assess existing capacity and determine
future capacities
Creates a common language
Scale and scope of capacity assessment and
development
Quantitative and qualitative data to support
strategy and action plan
44. Conducting Capacity Assessment
Define desired future capacities -
Define the level
Assess existing capacity
What is the difference?
How to fill this gap?
What resources are needed?
What timeframe to fill the gaps?
How to monitor and evaluate the process?
46. Mapping of actors, fund flows and influence
0
Ministry of
Finance 8
Donors
Regional 6-10
Coordinating
District Chief Donor Consultants
Council
0 Executive
Community 0
District Assembly
Political
parties District
Monitoring District
Team Assembly Traditional
Department of Food Member Chief
4 1
& Agriculture
8 7
District Tender NGOs ?
GIDA (Review) Board
10 Accountability
formal
10 informal
Private Flow of funds
Companies / “Diversion” of funds
Design Consultants
Contractors
Supervising Consultants 10 Actual influence
x on the quality of
dams (Scale 0-10)
48. Lessons Learned
Sustainability of capacity depends on
leadership
Bridge the gap between theory and practice
share the experiences in capacity
strengthening
understand the institutional, resource and
human capital constraints
Curriculum should be reviewed and revised
Establish enabling environment and
institutions
Continuous dialogue between the
researchers, trainers, and policymakers
Page 48
49. Concluding Remarks
Capacity development is a long term
continuous process
Individual, institutional and policy
environment go hand in hand
Training alone is not enough
Knowledge management, participation,
transparency are important to make impact
Strategic approach needed to capacity
development, management, utilization and
maintenance