The Turin 2009 Learning Link Session 3.3. Presntation by WBI Day 3 - December 9

1. Implementing a Results Framework for
Capacity Development
December 9, 2009
Jenny Gold, Program Officer, Capacity Development & Results, WBI
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Session Overview
A discussion around:
WBI’s Capacity Development Results Framework or CDRF
Example from WBI’s work
Discuss the road map to apply, adapt and customize the
framework and ways it can be used by practitioners
Experiences of WBI related to the application its results
framework
Why this session?
Expanded discussion and understanding around the
opportunities related to the application of a results framework
on the ground -- focusing on improving results management
practices of institutions in the South and identifying and
developing needed resources to guide practice
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2. Why a Results Framework
Guide capacity needs assessments & identify capacity
constraints
Engage stakeholders in the entire program cycle &
ensure local ownership
Define capacity development strategies to apply at
community, regional, or country levels
Build indicators into program design to track progress
&, when necessary, adjust program for improved
adaptive management
Assess program results achieved, as well as results-
orientation of program design & actual implementation
Communicate meaningful results to stakeholders,
other practitioners & donors
Compare programs over time to determine what does
& does not work and adaptively manage practice
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Introduction to WBI’s Capacity Development
and Results Work
WBI has developed the capacity development results framework or
CDRF – a key resource that is being implemented in the World Bank
and translated into practice
WBI’s growing practice in this area includes programs to
Develop, identify, pilot and share innovations, and good practices
related to capacity development and the management of its results
Work with regional capacity development institutions to develop
and test innovative tools and approaches
Exchange knowledge with strategic external partners on capacity
development concepts, strategies and practices
More application, adaption and customization of the framework
for on the ground practice
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3. Key Questions
1. Could you suggest concrete ways to expand
or further develop the practical application of
the capacity development results framework?
2. What might be needed resources to guide
practice?
www.capacity-development.org
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Capacity Development Results Framework
or CDRF
What is the framework? Main elements:
Brings together good A development goal that the
capacity development contributes
practice to provide a to
results-oriented approach Typology of capacity factors
to help guide and improve with categories of capacity
capacity development indicators
practice Capacity development
objectives that relate to capacity
Links program activities to factors
changes in capacity Typology of intermediate
toward the achievement of outcomes or learning outcomes
a development goal Identified change agents, e.g.,
local groups or organizations, and
Flexible resource for use a process of how agents can
in different contexts drive change
Supporting partners and
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stakeholders

4. CDRF Elements and How They Connect in a
Program
toward the development
goal
Capacity factors
who influence
relevant capacity
factors
to empower change
agents
Intermediate
outcomes or learning
outcomes can be
tracked
Through capacity
development activities
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Questions for Program Teams
to Design a Program using the CDRF
What is the program’s goal?
What capacity factors does the program intend to address or
change?
Related to sociopolitical environment, policy instruments,
and/or organizational arrangements?
What is the program’s theory of change?
With/through which change agents?
What change process?
What are key complementary factors/actors?
What intermediate or learning outcomes will be needed for
success?
Through which activities?
All along, how will you monitor results?
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5. Capacity Factors
Capacity factors are sociopolitical, policy and
organizational related.
In a capacity development program capacity factors
are a resource to adapt to your context and use to:
Assess capacity needs related to specific challenges and
opportunities
identify priority capacity needs that can be changed by
the program, i.e., areas where you can achieve results
Identify specific indicators (at the impact or capacity level)
Guide you in preparing your program’s capacity
development objectives
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Types of Capacity Factors – What
Factors Need to Change for Results?
Capacity Factor Issue Definition
Sociopolitical How conducive is it . . . comprises political & social
Environment to achieving forces that determine the priority
development goals? that government, civil society, & the
private sector give to specific
development goals
Policy How efficient are . . . are administrative rules, laws,
Instruments they in guiding regulations, standards, & other
stakeholders’ formal incentives that a society
behavior to achieving uses to guide stakeholder actions to
the goals? achieve its development goals
Organizational How effective are . . . are systems, rules of action,
Arrangements they in achieving the processes, personnel & other
goals? resources that state & non-state
stakeholders bring together to
achieve development goals
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6. Measuring Results in terms of Capacity
Capacity to Achieve a Given
Development Goal (DG)
Indicators of a Conducive Indicators of Efficient Indicators of Effective
Sociopolitical Environment for a Policy Instruments for a given DG Organizational Arrangements
given DG for a Given DG
• Clarity of the policy instrument in defining
• Commitment of leaders to the DG & the related rights & responsibilities of • Clarity of mission with
DG stakeholders respect to the DG
• Consistency of policy instrument defining
• Compatibility of the DG with the DG with policy instruments for other DGs • Achievement of outcomes
social norms & values that lead directly to attainment
• Legitimacy of the policy instrument of the DG
• Stakeholder participation in • Incentives for compliance provided by the
decisions about the DG policy instrument • Operational efficiency
• Stakeholder voice in decisions • Administrative ease of policy instrument • Financial viability & probity
implementation
about the DG
• Freedom of policy instrument from • Supportiveness of
• Accountability of service unintended negative consequences stakeholders
providers for achieving the DG • Flexibility of the policy instrument in
• Adaptability in anticipating &
addressing varying DG situations
• Transparency of information to responding to change
stakeholders about the DG • Resistance of policy instrument to
corruption, rent seeking, & regulatory
capture
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Example – IGAD, East Africa
Increase capacities of CSOs to engage in conflict prevention work at all levels, including in early response, to
prevent, de-escalate or resolve pastoral and related conflicts in each country across Eastern Africa region.
Sociopolitical related Policy related Organizational related
Capacity factor: Commitment of
traditional, civil society and political Capacity factor: Clarity of the
Capacity factor: Operational efficiency
leaders to put in place local capabilities policy instruments for early warning
of early-warning institutional structures
to deal with cross border pastoral and response in areas of cross border
other conflicts conflict
Related challenge: Need to
strengthen local institutions involved in
Related challenge: Need for multi- Related challenge: Need for
early warning and their coordination
stakeholder leadership commitment agreement on clear local level
with systems for information-gathering
among local stakeholder groups to mechanisms to guide response to
and analysis
stabilize land management in pastoral early warning signs
areas
Change process and agents of Change process and agents of change:
Change process and agents of change : change: The activities will improve local The activities will strengthen civil society
The activities will transform the behavior of stakeholder awareness and skills at a and community organizations by developing
the leaders and their commitment to come high level to support the development of a Rapid Response Fund to support their
together as a group to develop conflicted needed policy responses, and a regional achievement of conflict prevention and
responses effort to implement a common policy resolution initiatives in decentralized local
framework communities
Examples of intermediate outcomes Examples of intermediate outcomes Examples of intermediate outcomes
1. Greater willingness of local leaders to deal 1. Better understanding of the issues at a 1. Creation of new locally managed grant
with conflicts in a planned and systematic high level making mechanism to support local
manner 2. Enhanced skills of local partners on institutions
2. Better collaboration among traditional early warning response management 2. Increased awareness of stakeholders
leaders, civil society, governments, and inter- 3. Improved collaboration to advance a working on conflicts management
governmental organizations framework to monitor and manage 2. Updated processes established
3. Creation of a common platform for conflicts
stakeholder action Courses
for Training Training of IGAD
Training of local
Consultations governme staff and
Peer-peer knowledge partners working
with multi- Awareness nt officials
Pilot case representatives in
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stakeholder raising session exchange among local on grants
grant monitoring
studies
leaders with leaders partners in each country and reporting

7. Discussion – Capacity Factors
• Could you think of 1-2 concrete suggestions to
develop specific indicators and measures for the
different types and categories of capacity factors
in the framework?
– With the person beside you …
– Review the different types of sociopolitical, policy and
organizational related capacity factors
– Think of new and innovative approaches or good practices
from your experience
• 5 min.
Use the handout to guide your thinking
www.capacity-development.org
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What Intermediate Outcomes are Needed for
Results?
Learning Outcomes
• Raised awareness Altered
• Enhanced skills status
• Improved consensus & teamwork Altered
processes
• Fostered coalitions & networks
• Formulated policies & strategies New
products
• Implemented strategies & plans & services
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8. Example – Chamber of Commerce, Ethiopia
Improve business partnership in the development of procedures and standards for private enterprise creation,
investment, and operations
Sociopolitical related Policy related Organizational related
Capacity factor: Flexibility of Capacity factor: Operational efficiency
Capacity factor: Participation of procedures, standards and codes in of business support structures
stakeholders in decisions about reform addressing changing business
development needs Related challenge: Need to strengthen
Related challenge: Need to expand new business network organization –
participation of business in policy Related challenge: Need to revise challenges due to fragmentation in the
dialogue and decision-making processes and modernize, existing policies that structures that it unites as well as
related to emerging reform issues constrain business growth and inefficiency in systems for oversight,
innovation, and information sharing
investment
Change process and agents of Change process and agents of
Change process and agents of change : change: The activities will change the change:
The activities will change how business behavior of business leaders and The activities will change how the
leaders and government stakeholders interact companies, and government and business support structures interact and
and dialogue for decision-making. business managed processes related to skills and processes to raise the
company registration. standards of their services.
Examples of intermediate outcomes Examples of intermediate outcomes Examples of intermediate outcomes
1. More understanding on business role and 1. Improved understanding on process of 1. Enhanced skills to upgrade business
needs on reform issues registering companies and skills to support services and systems
2. More confidence and motivation among implement 2. More collaboration on systems
business leaders to engage with government 2. Revised registration process development across business support
3. Collaboration with government and civil established and in use structures
society expanded 2. Updated processes established
Peer –peer
Awarenes Technical
dialogue Training Training in assistance and
Private/public s session
workshops management, resource inputs
Training in public Stakeholder meetings to update internal
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speaking, on reform accounting , other
Resource inputs to update system processes
issues Workshops
Intermediate Outcomes for Capacity Development
Learning Outcomes Generic Learning Objectives
• Participant understanding of an issue or situation improved
• Participant attitude improved
1. Raised awareness • Participant confidence improved
Altered status • Participant motivation improved
• New skills/knowledge acquired
2. Enhanced skills • New skills/knowledge applied
• Discussion initiated/resumed/activated
• Participatory process initiated/expanded
3. Improved • Consensus reached
Altered consensus/teamwork •
•
Action steps/plan formulated/improved
Collaboration increased/improved
processes • Discussion initiated/resumed/activated
4. Fostered • Participatory process initiated/improved
• Informal network(s) created/expanded
coalitions/networks • Formal partnerships or coalitions created/expanded
• Stakeholders involved in process
• Policy/strategy needs assessment completed
5. Formulated policy/ • Stakeholder agreement reached
• Action steps/plan formulated
New products strategy •
•
Monitoring and evaluation plan designed
Policy/reform/strategy/law proposed to decision-makers
& services • Implementation steps formulated
• Monitoring and evaluation initiated
6. Implemented strategy/plan • Implementation steps initiated
• Implementation know-how improved

9. Discussion – Intermediate Outcomes
• Could you think of 1-2 concrete suggestions to
develop specific indicators and measures for the
intermediate outcomes in the framework?
– With the person beside you …
– review the different types of learning outcomes , such as
new behaviors, interactions, products or services.
– Think of new and innovative approaches or good practices
from your experience, particularly for more difficult to
measure outcomes, such as related to consensus building
or network creation
• 5 min.
Use the handout to guide your thinking
www.capacity-development.org
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What is the Relationship between your
Programs and the CDRF?
Programmatic
Approach Integral CDRF
An institution's capacity CDRF offers a method to
development activities – or determine the optimal
building blocks – arranged, arrangement of the building
adapted and customized to blocks needed to meet the
flexibly fit the diverse needs of goals of different programs
local agents and stakeholders
to achieve results
Change dge
Knowle s;
n ge
manageme exchan on
t, multi- ti
innova s
r m
stakeholde platfor
leadership
-peer
Peer-to
action
g,
learnin
rks
Struct
ured netwo
g
learnin
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10. Why a Roadmap?
One application of the framework
Iterative steps for project team to apply, adapt and
customize the CDRF, including key good practices
for capacity development
Adapt to context and needs – such as to
Engage stakeholders in project cycle
Build project-level indicators for capacity development
Conduct a capacity needs assessment, or
Guide project planning, design or strategy development
Application would allow programs to identify,
manage, communicate, and compare the results
of capacity development work
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Practice Example -- Roadmap to Apply, Adapt and Customize
the Framework
1
Validate the
development goal for
the capacity
development with
6 stakeholders 2
Identify intermediate Assess the capacity
outcomes and factors in the specific
indicators context
Basis for Results-
oriented capacity
5. development work
Describe the change 3
agents and the Decide which
expected capacity factors are a
process by priority & can be
which change changed by the work
will happen 4
Specify the capacity
development
objectives
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11. Examples of Ongoing Program Work
Global/ East Africa - Case studies: Africa – African Capacity Building
WBI is using the framework as a Foundation
resource to document capacity Joint work to develop a results
development practices and learn framework for ACBF projects,
from the experiences of different including tools for retrofitting and
programs – case studies of M&E as well as a possible pilot
programs in East Africa – case activity to implement the framework.
studies of World Bank programs Launched in Oct. 2009 through a
(early 2010) workout session with ACBF’s
China - Ministry of Finance’s Training operational staff.
Center India - WBI Urban program
Using the CDRF to apply a results Work with WBI’s urban practice
orientation to MOF programs. and partners in India to use the
Starting Dec. 2009, WBI will work framework to guide a capacity
with the Training Center and its assessment and to develop results-
training network associated with oriented programs. The results are
the provincial bureaus. It will also expected to contribute to ASCI
assess a possible pilot to
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programs and a national urban
implement the framework. renewal initiative(ongoing in 2010)
Key Questions
1. Could you suggest 1-2 concrete ways to expand
or further develop the practical application of the
capacity development results framework?
2. What might be needed resources to guide
practice?
– With the person beside you …
• 5 min.
www.capacity-development.org
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12. www.capacity-development.org
wbi.worldbank.org/wbi/approaches/capacity-and-results
More resources to come:
• Case studies
• Indicators
• Pilot examples
• Practical toolkits
capacity4change@worldbank.org
Your idea to develop online tools and resources:
https://www.surveymonkey.com/s/HT3X9NR
Contribute to a newly created wiki:
A dynamic web page where practitioners and partners can build a glossary to
consolidate varying definitions for terms and concepts in capacity
development.
http://capacitydevelopmentindex.pbworks.com/
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