Module 5: Clear link to results and monitoring of capacity development Supporting change through Capacity Development

This module discusses How to define capacity results How to monitor capacity results

CD Quality grid requirement: 3. Clear link to results and expected outcomes 3.1 Are results and/or outcomes defined beyond what the CD suppport will deliver? Please give examples of key targeted results at the level of enhanced capacity of organisation(s), if relevant, outputs that the organisation(s) produce or at the level of outcomes. 3.2 Have the country partners' inputs, which are required to sustain the results of the programme, been identified and specified? 3.3 What innovative forms of CD support have been considered, e.g. regional sources, staff exchanges or networking?

Why Is this Criteria Important? Thinking about results is at the heart of good design and management Capacity results are as important as other development results but easily lost in the results chain How to capture Capacity Results? Think in terms of the outputs of the organisation/system arising from CD processes Think beyond what external support will achieve…since it has only limited bearing on outcome

Contextual factors and actors within influence Contextual factors beyond influence Wider impact OutcomesOutputs Capacity Recurrent inputs CD processes CD support Internal resources

CD DEVELOPMENT OBJ Increased use of services CD IMMEDIATE OBJ (capacity for what) Performance improved ORGANISATIONAL CAPACITY Knowledge, systems, rules, structure, behaviour, etc CD PROCESS CD ACTIVITIES Courses, mentorship, advise, twinning, exchange, etc. CD INPUTS funds/contracts, trainers, TA PARTNER ORGANISATION/ SECTOR RESULTS CHAIN OUTCOME Use of products and services by clients/ public IMPACT Improved development result eg: better health OUTPUTS Improved products and services CAPACITY EG: PFM, leadership, logistics, technical INPUTS Budget & Staff

Challenges Easy to fall into trap of focusing on donor inputs and outputs, not organisation/ sector outputs Difficulty to specify the performance and capacity changes that are sought, and to propose indicators Theory of change often un-developed/ incomplete Assumption of simple linear causality, and underestimation of impact of other factors on results. Pressure to deliver tangible products, less on facilitating processes, and building sustainable capacity for tomorrow

Specifying CD Results Link changes in capacity to proposed changes in performance Performance = Performance change in organisational/ sector outputs (products and services) Capacity = Enhanced or changed organisational / sector capacity Aim at a realistic balance between: Improvements in capacity that can be achieved over the short to medium term and The level of performance that can be expected to accrue. Ideally reflected in a corporate/ sector development plan

Message 1 Be realistic about what can be achieved: Developing capacity is in most cases harder to achieve and support than envisaged CD and support processes take longer time than envisaged CD support only effective when aligned to partner’s reform process Think carefully about the change process required to achieve desired results; is it simple, complicated, complex (next module)

Message 2 Avoid over-specifying results given complexity/uncertainty of many CD processes Need to be able to bargain and re-strategise along the way…. Changing needs arise from lag between design & implementation Imperfect knowledge when entering the process Be clear on what you want to achieve, leave space to determine how you get there (programme estimates?)

11 Guiding questions for formulating capacity results Who or what (organisation, target group, sector, etc.) needs capacity? Why is the capacity needed – for what purpose? What type of capacity is needed in order to achieve the purpose? Context and Capacity Assessment (QC1) = key sources of information in formulating capacity results Quality of dialogue, level of ownership (QC2) and change readiness will influence what can be realistically achieved

Remember…. This is not about specifying outputs of external assistance The results chain firmly belongs to the host sector/ agency (‘country results framework’) The role of external assistance comes later

Exercise: Make the partner country CD results chain (what are the changes in capacity aimed for): CD outcome CD output(s) Organisational/Sector Capacity changes CD process CD inputs

CD DEVELOPMENT OBJ Increased use of services CD IMMEDIATE OBJ (capacity for what) Performance improved ORGANISATIONAL CAPACITY Knowledge, systems, rules, structure, behaviour, etc CD PROCESS CD ACTIVITIES Courses, mentorship, advice, twinning, exchange, etc. CD INPUTS funds/contracts, trainers, TA PARTNER ORGANISATION/ SECTOR RESULTS CHAIN OUTCOME Use of products and services by clients/public IMPACT Improved development result eg: better health OUTPUTS Improved products and services CAPACITY EG: PFM, leadership, logistics, technical INPUTS Budget & Staff Programme with a CD component or: Programme = Capacity Development

Monitoring Capacity Results Monitoring: processes, organisation and outputs of capacity development Evaluation: the CD results produced and their effect on outcomes and impact M&E framework is the flip side of the results framework and should be developed AT THE SAME TIME M&E is the basis for lessons learned and the justification for changing project structure.

M and E TC support CD processes Recurrent inputs Organisational/ Sector Capacity OutputsOutcomes Wider impact Internal resour- ces Primary focus of evaluation Primary focus of monitoring

Monitoring the Changes in Capacity Purpose is to track changes in capacity over time both for learning and accountability Can be done by looking at: changes in organisational/ sector outputs changes in organisational/ sector capacity changes in CD processes

Changes in Organisational/ Sector Outputs TC support CD processes Recurrent inputs Capacity Outputs Outcomes Wider impact Internal resour- ces

Changes in organisational/ sector outputs Delivery of products and services as foreseen in results framework – capacity for what A helpful proxy indicator but; –Outputs can improve for reasons other than capacity enhancement Indicators include: –producer data: services, products, regulations –client / customer satisfaction

Changes in Organisational/ Sector Capacity TC support CD processes Recurrent inputs Capacity OutputsOutcomes Wider impact Internal resour- ces

Formulate indicators

Changes in organisational/ sector capacity Can be monitored in many ways (tools): –Conduct periodic (self) assessments against a baseline –Conduct Assessments that are Peer-based or benchmarked against recognised standards Indicators need to be jointly selected and understood, not imposed Both quantitative and qualitative indicators required to capture both tangible and intangible elements of capacity Consider use of other methodologies such as MSC, outcome mapping; and use appreciative enquiry

Monitoring the Quality of the Change Process TC support CD processes Recurrent inputs Capacity OutputsOutcomes Wider impact Internal resour- ces

Monitoring the Change Process Success depends on joint effort, so mutual performance monitoring is important What the partner country has done in terms of leading the process What DP has done in terms of supporting the process Can be applied at programme level but also at level of individual expert, action Need to also take account of changing contextual/ PEA factors Arrange as periodic performance dialogue using a structured format Use of QC in EAMR and ROM

Monitoring roles – who does what? Who does what Monitoring of: The partnerThe EC Inputs & processes... periodic, systematic dialogue about mutual performance with TC personnel...together with partner; periodic dialogue on performance assessment; brokering of conflicts, adjustments in timeframes Outputs & outcomes...has main responsibility; serves learning, management and domestic accountability (also others, ….)...help ensure that results are monitored appropriately; appropriate feedback of CD mon. to program adjustments Outcomes & impact...has prime responsibility; serves learning and domestic accountability (also others like watchdogs, think-tanks, ….)...mainly to ‘monitor the monitoring’ by the partner’ with focus on the capacity of the domestic monitoring system (and support it)

Quantity and quality

Exercise: Formulate CD indicators based on the results chain developed earlier