PENGEMBANGAN KAPASITAS &
KELEMBAGAAN SEKTOR PUBLIK
SATUAN ACARA PERKULIAHAN
Core of Public Administration
PUBLIC SERVICES
The spirit of public administration has to do with immediate
and pressing questions of how to do things
effectively,efficiently, and equitably – this is MANAGEMENT
How to define the public
How to conduct effective public administration in a
democatic political contecxt
How to balance efficiency, economy and equity
How to be an ethical public administrator
Why it is essential for public administrators to also
representative citizens
3 Kategori Institusi/Organisasi
“Organisasi” yang bukan “Institusi”
“Institusi” yang bukan “Organisasi”
“Organisasi” yang merupakan “Institusi” atau sebaliknya (vice versa)
The three categories can be illustrated with examples from
the legas realm. A new firm of lawyers would represent
the first category, an organization that is not (yet?) an
institution. “The law” is an institution that is not an
organizations and exemplifies the second. Courts, which
are both organizations and institutions, fall in the last
category. (Uphoff,1989)
Organization
Norman Uphoff (1986)
Philip Selznick
Organizations are structures of recognized and
accepted roles
• the structural expression of rational action,
• a mechanistic instrument designed to achieve
specified goals, and
• an adaptive organic system
Institution
Scott (2001 : 48)
1. Institutions are social structures that have attained a high degree of resilience.
2. Institutions are composed of cultured-cognitive, normative, and regulative
elements that, together with associated activities and resources, provide stability
and meaning of social live.
3. Institutions are transmitted by various types of carriers, including symbolic
systems, relational systems, routines, and artifacts.
4. Institutions operate at multiple levels of jurisdiction, from the world system to
localized interpersonal relationships.
5. Institutions by definition connot stabiliy but are subject to change processes, both
incremental and discontinuous.
Three Pillars of Institutions
Pillar
Regulative
Normative
Cultural-Cognitive
Basis of compliance
Expedience
Social obligation
Taken-for-grantedness
Shared understanding
Basis of order
Regulative rules
Binding expectations
Constitutive schema
Mechanism
Coercive
Normative
Mimetic
Logic
Instrumentality
Appropriatness
Orthodoxy
Indicators
Rules
Laws
Sanctions
Certification
Accreditation
Common beliefs
Shared logics of action
Basis of legitimacy
Legally sanction
Morally governed
Comprehensible
Recognizable
Culturally supported
Institution Building (IB)
Eaton (1972)
Institution Building (IB) is a perspective on planned and guided social change
Institution Building may be defined as the planning, structuring, and guidance of new or
reconstituted organizations which (a) embody changes values, functions, physical,
and/or social technologies, (b) establish, foster, and protect new normative relationships
and actions patterns, and (c) obtain support and complementarity in the environment
Dimension and focus of Capacity Building Initiatives
Dimension
Focus
Types of Activities
Human Resource
Development
Supply of professional
And technical personel
Training, salaries, conditions
of work, recruitment
Organizational
Strengthening
Management systems to
improve performance of
spesific tasks and functions;
microstructures
Incentive systems, utilization of
personnel, leadership,
organizational culture,
communications, managerial
structures
Institutional Reform
Institutions and systems;
macrostructures
Rules of the game for
economic and political
regimes, policy and legal
change, constitutional reform
Dimension and focus of Capacity Building
(Joseph E.Eaton)
Micro-system Changes
The planning, stucturing and guidance of new or reconstituted organization which
advocate and embody changes in values, function, physical and/or social
technologies
Macro-system Changes
The establishment, protection and fostering normative relationship and action
patterns with linked organizations in the larger social system and the attainment of
normative acceptance in the environment (complementarity)
Public Sector
Institutional Context
Action Environment
Economic Factors
 Growth
 Labor market
 International
economic
relationships &
conditions
 Private sector
 Development
Concurrent policies
Public service rules and regulation
Budgetary support
Role of the state
Management practices
Formal and Informal power relations
Task Network
ORG3
Communications and interactions among
 Primary Organizations
 Secondary Organizations
 Support Organizations
ORG4
Political Factors
 Leadership support
 Mobilization of civic
society
 Stability
 Legitimacy
 Political Institution
Organization
ORG2
Goals
Structure of work
Incentive system
Management/leadership
Physical resources
Formal &informal communication
Behavioral norms
Technical assistance
Performance Output
• Effectiveness
• Efficiency
• Sustainability
ORG5
Social Factors
 Overall human
resource
development
 Social conflict
 Class stuctures
 Organization of civic
society
Human Resources
ORG1




Training
Recruitment
Utilization
Retention
Organization
Goals
Structure of work
Incentive system
Management/leadership
Physical resources
Formal &informal communication
Behavioral norms
Technical assistance
Human Resources

Training

Recruitment

Utilization

Retention
Task Network
Communications and interactions among
 Primary Organizations
 Secondary Organizations
 Support Organizations
ORG3
ORG4
Organization
ORG2
Goals
Structure of work
Incentive system
Management/leadership
Physical resources
Formal &informal communication
Behavioral norms
Technical assistance
ORG5
Human Resources
ORG1




Training
Recruitment
Utilization
Retention
Variables of Influence
Institution
Linkages
Institution variables;
Leadership
Doctrine
Program
Resources
Internal Structure
Transaction
Enabling linkages
Functional linkages
Normative linkages
Diffused linkages
Leadership
“The group of persons who are actively enganged in the formulation of
the doctrine and program of the institution and who direct its
operations andrelationships with the environment”
(Kelompok orang yang secara aktif berkecimpung dalam perumusan doktrin dan program
dari lembaga yang bersangkutan dan yang mengarahkan operasi-operasi dan hubunganhubungannnya dengan lingkungan.)
Doctrin
“The specification of values, objectives, and operational methods underlying
social action”
(Spesifikasi dari nilai-nilai, tujuan-tujuan, dan metode-metode operasional yang mendasari tindakan
sosial)
Program
“Those actions which are related to the performance of functions and
services constituting the output of the institution”
(Tindakan-tindakan tertentu yang berhubungan dengan pelaksanaan dari fungsi-fungsi
dan jasa-jasa yang merupakan keluaran dari lembaga tersebut)
Resources
“The financial, physical, human, technological and informational inputs
of the institution”
(Masukan-masukan keuangan, fisik,manusia, teknologi dan informasi dari lembaga tersebut)
Internal Structure
“The structure and processes established for the operation of the
institution and for its maintenance”
(Struktur dan proses-proses yang diadakan untuk bekerjanya lembaga tersebut dan bagi
pemeliharaannya)
Enabling Linkages
With organizations and social groups which control the allocation of
authority and resources needed by the institution to function
Functional Linkages
With those organizations performing functions and services which are
complementary in a production sense, which supply the inputs and
which use the outputs of the institution
Normative Linkages
With institutions which incorporate norms and values (positive or
negative) which are relevanttothe doctrine and program of the
institution
Diffuse Linkages
With elements in the society which cannot clearly byidentified by
membership in formal organization
Public Sector
Institutional Context
Action Environment
Economic Factors
 Growth
 Labor market
 International
economic
relationships &
conditions
 Private sector
 Development
Concurrent policies
Public service rules and regulation
Budgetary support
Role of the state
Management practices
Formal and Informal power relations
Task Network
ORG3
Communications and interactions among
 Primary Organizations
 Secondary Organizations
 Support Organizations
ORG4
Political Factors
 Leadership support
 Mobilization of civic
society
 Stability
 Legitimacy
 Political Institution
Organization
ORG2
Goals
Structure of work
Incentive system
Management/leadership
Physical resources
Formal &informal communication
Behavioral norms
Technical assistance
Performance Output
• Effectiveness
• Efficiency
• Sustainability
ORG5
Social Factors
 Overall human
resource
development
 Social conflict
 Class stuctures
 Organization of civic
society
Human Resources
ORG1




Training
Recruitment
Utilization
Retention
End State - Institutionality
Kemampuan Teknis
Komitmen-komitmen Normatif
Dorongan Inovatif
Citra Lingkungan
Efek sebaran
PENINGKATAN KAPASITAS
upaya untuk membantu orang, organisasi, dan sistem dalam
menghadapi tantangan& memenuhi tuntutan
proses untuk mempengaruhi atau menggerakkan, perubahan
di berbagai tingkatan (multi-level) pada individu, kelompok,
organisasi dan sistem
berusaha memperkuat kemampuan beradaptasi orang dan
organisasi sehingga mereka dapat merespon perubahan
lingkungan
penciptaan sebuah organisasi “pembelajaran”.
Tingkatan Peningkatan Kapasitas
Sistem
Organisasi
Individu
TIGA LAPANGAN PENGEMBANGAN INSTITUSI
KEPEMERINTAHAN (BICA, 2001)
• Peningkatan Kapasitas Administrasi-Manajerial
Manajemen sumber daya yang efisien dalam berbagai proses administrasi yang dibutuhkan untuk
memberikan output pemerintah, seperti layanan publik, penegakan regulasi, dan sebagainya.
• Peningkatan Kapasitas Kebijakan
Kemampuan untuk mengumpulkan informasi dan wewenang pengambilan keputusan untuk
membuat pilihan yang cerdas dan menetapkan strategi arah kebijakan.
• Peningkatan Kapasitas Organisasi Negara
Kemampuan untuk memobilisasi kekuatan sosial dan ekonomi melalui partisipasi dan pilihan
bersama untuk mencapai berbagai tujuan sosial dan ekonomi.
HUMAN RESOURCE CAPACITY
STRENGHTHENING
Dimension and focus of Human Resource Development
Dimension
Focus
Types of Activities
Human Resource
Development
Supply of professional
And technical personel
Training, salaries, conditions
of work, recruitment
4 BASIC PHASES
Design Phase
(resulting in, for example.a spesific donor or government initiative)
Project Implementation Phase
(a contractor or administrative unit is selected to implement a program,
and begin to do so)
Capacity Acquisition Phase
(various training and other actions take place and informal experiences
build new skills)
Performance Phase
(Capacity is manifested in task performance and is evaluated)
Actors, Actions and Events in Programs Aimed at Strenghtening
Human Resource Capacity
Events Unrelated to Program
Program
Design
Project
Implementation
AI
L Donor Constituency
H Officers of Donor
Agency at Center
H Donor
representatives
at project site
M Ministry Office
M Potential
Implementators/
contractors
Capacity
Acquisition
AII
Award
Project
H Officers of Donor
Agency at Center
M Donor
Representatives
at Project Site
L Ministry Officials
H Implementators/
Contractors
L Target Institution’s
Administrators
Select
Resources
Provide
Fund and
Services
Capacity
Performance
AIII
AIV
L Officers of Donor
Agency at Center
M Donor
Representatives at
Periphery
M Ministry Officials
H Implementators/
Contractors
H Target Institution’s
Administrators
H Targeted
Professional/technical
Staff
L Local Public
M Ministry Officials
H Target Institution’s
Administrators
H Targeted
Professional/technical
Staff
H Local Public
Produce
Outputs
Training and development encompasses
three main activities: training, education,
and development. These ideas are often
considered to be synonymous. However,
to practitioners, they encompass three
separate, although interrelated, activities.
Training
This activity is both focused upon, and evaluated against, the job that an individual currently holds.
Education
This activity focuses upon the jobs that an individual may potentially hold in the future, and is evaluated
against those jobs.
Development
This activity focuses upon the activities that the organization employing the individual, or that the
individual is part of, may partake in the future, and is almost impossible to evaluate.
Strategies for Capacity Building – Developing Human Resources
(Grindle)
Targeted, narrowly focused education and training
(is a a strategy in which an institution or ministry decides that it can determine precisely
what its needs will be three to five years in the future)
The Pooled-resource, multi institution Approach
(brings together individuals for similar degree training from many different, but related
organizations )
The “hit-or-miss” Approach
(is best exemplified by the strategy of sending a few key individuals from an organization to
either a variety of universities)
The “key individuls” Approach
The Saturation Training
(is best exemplified by the strategy of sending a few key individuals from an organization to
either a variety of universities)
How
OrganizationalStrenghtening
Organizational
Capacities can be
strengthened?
Dimension and focus of Organizational Strenghtening
Focus
Management systems to
improve performance of
spesific tasks and functions;
microstructures
Types of Activities
Incentive systems, utilization of
personnel, leadership,
organizational culture,
communications, managerial
structures
The various actors involved in each phase of the capacity strenghtening process
negotiate and make decisions based on their individual and institutional power, perspectives
and incentives, resulting in spesific actions
Refer to manifestations of deliberations and decisions within
different phases of project’s life
Decision Making During Design and Implementation of Capacity Strenghtening Programs
Program
Design
A I.1
Project
Implementation
O1
O2
AII.1
O3
A I.2
A I.3
Capacity
Acquisition
O1
O2
AIII.1
O3
AII.2
AII.3
AIII.2
AIII.3
Key:
AI-III : Sets of actors at different
program stages
O1-3 : Options
: Options selected
: Options rejeted
Research Capacity Strenghtening
As a subset of human resource capacity particularly concerned with the sustained ability of
individuals, organizations, and nations to identify important basic and applied problems and to
collect, process, analyze, and disseminate information that addresses them.
Three Objectives:
Providing useful information in a timely fashion
Transmitting the skills required to create and use such information
Increasing the depth and complexity of human knowledge
More than just the ability to answer question but also create new
questions so that a research community can respond to new
challenges and question its own assumption
ADDR Project
(Applied Diarrheal Disease Research)
Events Unrelated to Program
Program
Design
Project
Implementation
Capacity
Acquisition
• Select Countries
• Select Organizations
and Investigators
• Select Research
Themes
• Emphasize Local
Design and
Application
• Combine In-Country
Training with External
Technical Assistance
• Use the Peer Review
Process and
Emphasize Quality
• Provide Varied Forms
of Technical
Assistance
• Adapt Project
Methods to Local
Culture and
Constraints
• Strengthen
Organization as well
as individuals
• Creer Constraints
• Physical Resources
• Cross-Disciplinary
Collaboration
• Financial
Management
• Ethical Review
• Build Linkages
Award
Project
Select
Resources
Provide
Fund and
Services
Capacity
Performance
Produce
Outputs
• Provide Dissemination
Grants to Researchers
• Form and Sustain
Indigenous Linkages
• Publish in Multiple
Venues
• Evaluate Project
Efforts
Institutional Reform
The Art of the Possible
Dimension and focus of Institutional Reform
Dimension
Institutional Reform
Focus
Institutions and systems;
macrostructures
Types of Activities
Rules of the game for
economic and political
regimes, policy and legal
change, constitutional reform
Institutionalization
social arrangements that shape and
regulate human behavior and have some
degree of permanency and purpose
transcending individual human lives and
intentions.
VS
Deinstitutonalization
Refers to the processes by
institutions weaken and disappear.
3
which
General Types toward
deinstitutionalization
“Imperfect Transmission”
1
Functional
Functional pressures are those that arise from perceived
problems in performance level associated with institutionaled
practices
2
Political
Political pressures result from shifts in interests or underlying
power distributions that provide support for existing
institutional arrangements
3
Social
Social pressures are associated with differentiation of groups
and existence of heterogeneus divergent beliefs and practices.
“Had policy and
institutional
reforms been
more effective,
investments
would have
yielded far
higher benefits
at much lower
financial,
social, and
environmental
Costs”
A critical review of these experiences is organized around
three themes:
The bias toward imposing blueprint solutions rather than
critical evaluation of political and historical realities.
The need for changes in the larger institutional context,
not simply in individual organizations or institutions.
The need to create an effective framework
for relationships among actors and
stakeholders.
Let Estates General
(France) guard the
institutional reform…..
…..and let me
tell you that
this report will
not end on a
shelf
Example Failed responses to reform
“Asian food crises of the 1960s”
Blaming then training the farmers while ignoring the real problem.
Organizing the farmers through irrigation management transfer, but ignoring the
preconditions.
Information, knowledge, and the capacity to use it are critical to successful
integrated water Management and appropriate reforms—but their availability is
often limited
Roads not traveled: empowering users and restructuring bureaucracies.
Key Findings of Institutional Change
(Ha Joon Chang)
Functional multiplicity of institutions
‘Appearances can be deceptive’ – formal and informal institutions
Politics of institution building
Structure and human agency in institutional change
Unintended consequences and intended ‘perversions’
The ‘technology’ of institution building
Principle of Institutional Change
Change is political
Change is normative
Key questions to ask for each situation include:
• What will be the benefits of institutional and policy reform, and how will these
benefits distributed? What will be the costs, and who will bear them?
• What coalition of interest groups will push forward and implement the change?
• Around which issues can such efforts be organized most productively?
• How can these coalitions be supported?
• What can realistically be done to adapt the enabling and constraining conditions
for this institutional transformation?
• How can knowledge producers and processors—academics, consultants, and
reflective practitioners—play a more active role?
Positive change is driven by coalitions of aligning interests, soft systems like
motivation, ethics and pride and fundamental transformational issues starting with
individual transformation in attitudes, values and behaviour.
Coalitions of aligning interests is a pre-condition for change
Embedding change messages in social and organizational culture
Communicate, communicate, communicate around change
A Framework for Change Management in Public Sector
Organisations (UNDP)
“The state is the main driver of reform—
but cannot succeed alone”