Developing a Capacity Building Strategy
A capacity building strategy will describe:
• what capacity (through training-needs assessments and the identification of skills gaps);
• whose capacity (by building on assets in relation to the implementation strategy);
• how capacity is to be built (what methods are to be adopted);
• when initiatives will be undertaken (the programme in relation to partnership processes); and
• who will pay (where the funds will come from for this purpose).
The preceding section has established a framework describing the types of skill sets needed for planning, developing and implementing partnerships. managers must then identify skill gaps, assess training needs, agree who should be targeted for skills development, decide how and when skills development should be undertaken.
capacity should ideally be developed in situ. The conventional approach will be through training exercises and manuals. However, experience shows that formal training may have only limited success. Evidence suggests that the most effective way to build skills and expertise is not through simple knowledge transfer (which tends to underpin training courses and manuals) but through a participative experiential learning process. This process can build on existing knowledge to provide solutions that are relevant and 'owned' by the learners themselves. This process requires an on-the- job learning programme involving a careful blend of technical assistance and training.
The main personnel to be targeted for capacity building are likely to be those involved in decision-making and those working at the interface of the partnership (see discussion on task forces in Chapter 12):
• political leadership;
• chief executive officers;
• line heads of service departments (e.g., water and sanitation);
• senior departmental staff;
• senior financial managers; and
• legal/administrative officers.
The capacity building strategy needs to be designed and implemented well in advance of the specified dates for launching any initiative. Timing will depend upon the availability and dates of training courses and/or external facilitation. activities should be programmed into the overall programme and should not be rushed into as a last-minute remedial measure, especially in cases in which the municipality has little or no previous experience of .
Finally a municipality will have to give careful thought to how it will finance any capacity building strategy. There are a number of options available:
• Obtain council approval to allocate funds for training. Some municipalities have made it mandatory to ensure that there is annual budgetary provision for training.
• Obtain funding from a higher tier of government, such as the province or state, which may have responsibility for training all public servants. Here, municipalities should improve their networking skills with trainers and training institutions at a regional level.
• Seek support from a donor agency funding technical assistance for decentralisation, local government and private sector participation initiatives. Many agencies, including the World Bank, , , , and , now actively support capacity building at the local level of government.
Box 11.2 Skills Framework | Core competencies | Poverty-related competencies | Strategic and practical understanding of the problem and context | • Ability to understand existing operating context macro-economic, political, policy, administrative) • Ability to understand the limitations and implications of the regulatory framework and the limitations of existing delivery mechanisms | • Ability to understand poverty context and the perceptions of the poor • Ability to understand service partnerships in relation to the livelihoods of the poor • Ability to disaggregate the low-income group and identify different intra-community and intra- household needs | Strategic understanding of solutions | • Strategic understanding of opportunities and constraints of in urban governance and municipal management • Capacity to exercise informed decision-making on in service delivery in relation to urban management goals - to evaluate options against other forms of delivery - to promote in appropriate municipal functions - to identify misinformation and develop an objective understanding of | • Ability to consider in the context of poverty reduction strategies | | • Ability to define the situation and objectives to engage with partnership concepts in a competent manner - to understand the municipality's objectives and define the requirements of a partnership arrangement - to understand options and implications - to initiate and prepare projects | • Ability to understand direct and indirect implications of for the poor, including financing aspects, arrangements, processes and actors • Ability to develop and institutionalise the role of the poor in the contractual arrangement from the outset • Ability to mediate between private sector and community, and facilitate three-way partnership arrangements • Ability to recognise and mitigate potential secondary impacts | | • Basic knowledge of financing arrangements: - understanding of tariff structures, implications, - connection costs, subsidies - understanding of investment plans and implications - ability to balance tariff requirements with other political and social requirements - understanding fee structures/implications | • Ability to develop a tariff in the light of affordability and willingness to pay balanced against cost recovery for service and service expansion • Ability to promote and establish flexibility in payment arrangements for poor households • Ability to promote better understanding of tariffs in relation to livelihoods | | • Strategic understanding of potential risks likely to affect performance under a contract • Knowledge and understanding of risk allocation | • Understanding of risks of extending coverage and quality of service to low-income areas, and incentives for private sector operation in low- income areas • Ability to develop mechanisms to reduce risks and promote improved services for the poor | | • Understanding of the nature and potential of all actors | • Specific understanding of local and potential actors able to partner in service delivery to the poor (, small-scale independent providers, ) | Capacity to analyse needs and develop a strategic response | • Understanding of information requirements, knowledge of information available - to ensure thorough identification of problems, and - to undertake or facilitate a feasibility study • Capacity to formulate municipal objectives with all stakeholders through participatory processes | • Ability to balance urban management with poverty-reduction objectives | | • Ability to plan strategically to fulfil objectives - to recognise whether partnerships are viable or not in the local context - to create a partnership strategy workable in long/medium/short term | • Ability to plan for interim improvements to match affordability, programme and funding, as well as long term improvements | Capacity to implement the strategy | • Ability to implement transparent tendering and evaluation procedures - basic knowledge of invitation and tender process - ability to clearly outline requirements of potential projects for bidders and to represent departmental objectives and interests - Ability to develop criteria for selecting private sector partners | | | • Understanding of legal and contractual aspects of - Detailed knowledge of opportunities and constraints - Ability to preserve departments' interests in contract negotiation and administration - Ability to understand performance requirements and the implications of definitions | • Ability to ensure that performance standards (including expansion mandates and service options) are beneficial to poor and do not create unintended impacts of legal frameworks governing | | • Ability to conduct contract negotiations - to oversee contract development process - to recognise what preparatory work needs to precede tendering to minimise delays in contract negotiations over specific provisions - to understand/pursue/defend departmental interests and objectives in contract negotiations | | Capacity to maintain effective partnerships | • Understanding of technical scope, and ability to engage with private operator over technical problems and solutions - to understand problems with existing systems and processes - to understand technical proposals for reorganisation (solid waste management), rehabilitation, extension and upgrade (urban water supply) - to engage with the private operator in the management of the contract | • Ability to understand or initiate a range of technological options • Ability to understand or initiate the role of poor households in construction and upgrading works (e.g., labour-based construction options) | | • Ability to perform contract management and supervisory role - to structure departments to optimise use and oversight of - to provide effective supervision (avoiding micro-management) - to evaluate whether a service is being delivered efficiently and effectively - to manage contract problems such as non-compliance | | | • Capacity to develop monitoring, evaluation and feedback mechanisms - to establish effective monitoring procedures - to implement monitoring and evaluation, and ensure meaningful feedback is achieved and brings about change | • Ability to establish effective baseline studies and impact assessments of service delivery on poor households • Ability to establish participatory monitoring processes | | • Strategic management of contract - ability and confidence to respond to impact assessment and revise arrangements within or at the completion of contract period | | Capacity to engage with stakeholders | • Understanding of and ability to engage with civil society - to engage with communities and community representatives () - to prepare and operationalise a stakeholder analysis | • Ability to conceive and implement meaningful participatory processes with the poor • Ability to ensure participation of women and other vulnerable groups • Ability to perceive a range of actions and involvement by poor communities and in the partnership • Ability to initiate practical and strategic changes to contract proposals to maximise benefits for the poor | | • Understanding of and ability to undertake consultation with trade unions - to prepare and operationalise ongoing and meaningful consultation processes with labourunions - to build consensus around project - to manage conflicts of interest should they arise | | Understanding of capacity building needs and ability to improve capacity | • Ability to undertake training-needs assessments, identify skills required and gaps in municipal skills - to initiate and facilitate sustainable capacity building to underpin initiatives - to ensure skills transfer throughout - to recognise the need for specialist advisors and brief them adequately - to identify funding sources for specialists | • Ability to work with and develop community capacity to perform agreed role, including the role of women and other vulnerable groups |
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