National Capacity
Development
Framework
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National Capacity Development Framework
Introduction
The NCBF provided for the first time a comprehensive guide to planning and
implementing capacity development investments for local governments. While the
NCBF is being supported by the BRGF, it also provides a potential framework for
capacity building components of other programs of the Panchayati raj and rural
development. Unlike other programs where the budgets for capacity development are
exclusively for training, the NCBF supported some of the critical gaps other than
training that are necessary for the capacity development of local governments. It made
provision to access technical support and also for availing services to cover the
functional gaps at the PRI level. Most of the States have started using a combination
of e-based learning approaches including establishing satellite training centers, video
conferencing facilities and telephone help lines and provision training using the
cascading model (MoPR 2009). The NCBF is still far too focused on individual
training and may not entirely address organisational or institutional capacity
gaps.
The underutilisation of resources available under the flagship programs of rural
development suggests that investing in capacities of local governments is prerequisite
to investing in rural development. The SIRDs were identified as the ‘lynchpin service
providers’ in many states and tasked to coordinate the supply of capacity development
services. A substantial amount of resources committed for the capacity development
under BRGF has not been utilised. This is a manifestation of the weak capacity of
SIRDs. There is a need to provide appropriate attention to the ‘institution
building’ that is sine qua non to the process of nurturing and making SIRDs self
sufficient and self renewing. Civil society organisations and private sector actors
also have an important role to play in developing capacities for local governance.
These actors might play their roles independently but they should also actively seek to
complement, reinforce or give constructive feedback to one another. Only then
harmonisation and alignment with other actors will truly materialise (Akrimi and
Nibbering, 2008). Some states availed the services of not-for-profit and profit
organisation to meet the capacity development demands. The supply side problems
such as inadequate number of quality service providers, quality of services and
coordination related issues need to be addressed by creating opportunities to empower
national and local actors. There is need for national level ‘lynchpin service provider’
with the mandate to coordinate national level activities and facilitate collaboration
among capacity development service providers dispersed across the country. This
arrangement would help in facilitating cross learning, minimising the costs of
services, improving the quality of Capacity Development (CD) services and
developing a common monitoring and evaluation approach. The NIRD may be
recognised as a ‘lynchpin service provider’ and secretariat for the national consortium
for the capacity service providers for local governments.
The NCBF does not require the States to conduct a capacity needs assessment for
each district, which is a major flaw (MoPR 2009). A Framework that emphasizes
stakeholder’s engagement in capacity development assessment and planning would be
grounded in the specific needs of the local government and also improve ownership of
the plan. The report of the first independent review mission for BRGF recommends
developing format/template and guidelines for Capacity Needs Assessment for
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National Capacity Development Framework
capacity development planning while allowing flexibility and innovation at State level
(MoPR 2009). Therefore, there is need to revisit and revise the NCBF and address
some of the concerns discussed above.
Relevance of the National Framework
The Constitution provides for the devolution of powers and responsibilities to Local
governments listed in the 11th and 12th Schedules of the constitution. Each year, the
ministries concerned with the functions devolved to the local governments spend
substantial amount on products and activities designed to enhance their capacity.
However, there is lack of a common framework that could be used for the need
assessment, design, implementation, monitoring, and evaluation of capacity
development projects. A variety of capacity building frameworks have been
developed over the years, the present framework draws upon from these wide ranging
frameworks. The objectives of creating the National Capacity Development
Framework for local government are to:
(1) Define the concept, issues and needs related to overall capacity development of
local governments and supporting institutions to effectively perform the
responsibilities entrusted to them;
(2) Assess the needs and define priorities for capacity development initiatives;
(3) Prepare an overall implementation plan for capacity development initiatives that
is coordinated and efficient;
(4) Provide a common approach to assess the results achieved; and
(5) Guide capacity development investments.
Objectives of the National Framework:
The basic objectives of the NCDF are:
(a) Enabling local government elected representatives to upgrade their knowledge
and skills to better perform their responsibilities, such as implementing
programmes equitably, enabling them to think in terms of concrete actions
which they can take or facilitate and equipping them with the skills required
for day-to-day performance of executive duties;
(b) Orienting key officials associated with the devolved functions to (i) perform
better as technical advisors and trainers and (ii) be more receptive and
learn from the ground level experience of elected representatives;
(c) Enabling local governments with structures, systems and resources (physical,
human and intellectual) needed to function effectively;
(d) Creating efficient policy instruments for effective functioning of local
governments;
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National Capacity Development Framework
(e) Improving the Gram/Ward Sabha functioning, particularly to provide
opportunities to the poor, women and scheduled castes/scheduled tribes, to assert
their demands through participative planning, monitor plan implementation
and to hold their local governments to account through invoking Right to
Information and social audit;
(f) Developing capacity of ‘lynchpin capacity providers’ and effective
mechanisms to engage civil society and the private sector in the delivery of
capacity development services; and
(g) Creating conducive socio-political environment through sensitising the media,
political parties, representatives in the legislatures, civil society organisations
and citizens to accepting and promoting local governments.
Definitions and concept
The two terms, namely, "capacity building" and "capacity development" are often
used interchangeably. According to JICA (2003) the term "building" connotes
"creating something that does not exist”. The word “development” stresses on
endogenous development process. The local governments are in existence for quite
some time and they do have some capacity. The role of the capacity development
service providers is not so much in terms of knowledge transfer or resource transfer,
but to facilitate locally owned change processes as a change agent that develop
capacity of local governments for achieving development goals. The experiences of
local capacity development suggests that capacity development is endogenous,
emergent and organic in any particular ‘human system’ (individual, organization and
institutional) – but can be also nurtured, planned and pro-actively supported from
outside (UNDP, 2009). Therefore, the role of capacity development service providers
is critical.
UNDP defines capacity as: “the ability of individuals, institutions and societies to
perform functions, solve problems, and set and achieve objectives in a sustainable
manner”. CD is thereby the “process through which these abilities are obtained,
strengthened, adapted and maintained over time”.
Capacity Factors
The four capacity factors that affect the achievement of development goals include
competency of individuals; effectiveness of organizational arrangements; efficiency
of policy instruments; and conduciveness of sociopolitical environment. These factors
are interdependent and complementary to each other. The change that occurs in an
individual as a result of improvement in knowledge or skills can be sustained only
when she could use that knowledge or skill in the organization. The change in
organizational environment could be sustained only when a ‘critical mass’ is
achieved. It is important to understand the logical relationship among capacity
factors and also between them and development goals during preparation of the CD
plan. However, these relationships may not be linear and straight forward. The most
fundamental problem encountered in assessing impact of the CD plan relates to
causality and attribution. It becomes even more pronounced when organisational and
environmental capacities or changes are objectively measured.
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National Capacity Development Framework
The table below illustrates the features of these capacity factors.
Table 1: Capacity Factors and its elements
Capacity
Definition
Elements on which the capacity is
Factors
based
Competency of
The will and ability to
Knowledge, skills, attitude, self-rated
Individual
set objectives and
power, etc.
achieve them using one's
own competence
Effectiveness of Factors that influence
Human resources (adequacy of
Organizational an organization's
competent
individuals
in
arrangements
performance
organizations)
Physical
resources
(facilities,
equipment, materials, etc) and budget
Intellectual resources (organizational
vision,
strategy,
planning,
performance management, business
know-how & technology, interinstitutional linkage, etc.)
Organizational structure and systems
that enables efficient utilization of
resources to realize development
goals
Leadership of the change agents
Efficiency of
The formal mechanisms Policy instruments include policies,
policy
to be used to guide
laws, regulations, administrative
instruments
stakeholder actions
rules, standards, etc.
toward achievement of
Enforcement of policy instruments
the development goal.
Conduciveness
of sociopolitical
environment
The political and social
forces that determine the
priority given to the
development goal by the
government, the private
sector, and civil society
Compatibility of social norms &
beliefs with development goals,
awareness of rights, power to voice
concerns and hold local government
accountable by the stakeholders
Adapted from Otoo, S. et al., 2009, JICA, 2004 and Lusthaus et al., 1995
Guiding Principles
The Framework is grounded on the following guiding principles:
(a) First, implementation of the Framework is an all round continuous and
sustained process aimed at long-term transformation and development
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National Capacity Development Framework
(b) Second, the capacity development is endogenous, emergent, organic in any
particular ‘human system’ therefore the CD plan must be demand driven and
owned by the local actors. However, the lynchpin organisations and service
providers can nurture and pro-actively support from outside to establish
‘best fit’ between local government needs and capacity development
initiatives. It should respect the cultural traditions and special needs of tribal
people. It should respect value systems and foster self-esteem.
(c) Third, the capacity development plans should recognise the overall
architecture of institutional change and consider all capacity factors and then
develop priorities for achieving local good governance. It should aim at
maximum initial coverage within a limited period of time, so that all
stakeholders can quickly settle down in to playing their roles and commence
their work.
(d) Fourth, the capacity development plans must be flexible, programmatic, and
results oriented. It should also facilitate interaction between local
governments and state government so that policy decisions of the state are
informed by the ground realities.
(e) Fifth, the capacity development plans should assign priority to the capacity
development needs of poor, women, SCs, STs and other marginalised sections
of the society. Similar priority should be given to the backward regions.
(f) Sixth, the capacity development plans should aim at creating conducive
environment for learning and innovation; and facilitating acquisition of new
knowledge and technology.
(g) Seventh, the framework has to constantly develop and evolve on the basis of
regular impact assessment.
Capacity Development Process
The capacity development process of UNDP includes assessment, planning and
formulation, implementation; and monitoring and evaluation.
Figure 1: Capacity Development process (adapted from UNDP, 2007)
Step 5:
Monitor &
Evaluate CD
Plan
Step 1:
Engage Key
Stakeholders &
Build
Consensus
Capacity
Development
Step 2:
Assess
Capacity
Assets and
Needs
Step 4:
Implement CD
Plan
Step 3:
Formulate CD
strategies &
Plan
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National Capacity Development Framework
Step 1: Engage Key Stakeholders and build consensus
The CD plan for a state shall include state plan and separate district plan for each
district. The State Capacity Development Coordinator nominated by the Panchayat
and Rural Development department along with the identified lynchpin institute should
finalize the calendar for the preparation of the CD plan in consultation with the
District Capacity coordinators. It is important to have common understanding of the
need for a capacity assessment. The objectives, process and list of participants could
be finalized in the first consultation meeting. Adequate number of consultation
meetings should be planned in the districts to ensure participation of elected
representatives, officials and representatives of the CSO from all levels of PRIs and
ULB. It is important to include leaders of all levels. A core team led by the District
CD Coordinator should lead the process at the district level. The services of experts
could be availed for adapting assessment method to suite the local needs.
Step 2: Assess capacity assets and needs
According to UNDP a capacity assessment is “an analysis of desired future capacities
against current capacities; this generates an understanding of capacity assets and
needs, which in turn leads to the formulation of capacity development (CD)
strategies.” The matrix in Table 2 could be used to identify capacity needs related to
four capacity factors.
The overall goals refer to what the local governments want to achieve in the long run.
The project goal refers to the specific goal that has to be achieved during the project
period. The CD strategies, which may be applied to address the capacity needs to be
indentified before identifying the activities. Separate matrix shall be prepared for the
state, districts and CD service providers.
It is important to clarify the relationships between the capacity factors and
developmental goal and also identify the indicators for monitoring the progress of
capacity development so that the interventions could be adjusted for the desired
impact. The problems associated with causality and attribution of results should be
addressed as far as possible by clarifying assumptions made in each relationship. The
matrix may give impression of the simplistic relationship among various elements of
capacity development. However, it should be recognized that the relationships in
many cases are not simple and linear. It is important to include key stakeholders in
this process and ensure ownership of the out by the leaders at various levels.
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National Capacity Development Framework
Table 2: Capacity Building Matrix
Overall goal
Project goal
Target Organisation
Whose
capacity?
Capacity
to
do
what?
Breakdown
(Element)
of the
capacity
How to
develop
the
capacity
How to
sustain
the
capacity
Individual
(Knowledge, skills,
attitude, self-rated
power, etc.)
Organization
(Human,
physical
and
intellectual
resources;
budget, structure,
system, leadership,
etc.)
Environment
(Policy Framework
and
Legal system; and
their enforcement
Sociopolitical
environment
(Compatibility
of
social norms &
beliefs
with
development goals,
awareness of rights,
power
to
voice
concerns and hold
local
government
accountable by the
stakeholders)
(Adapted from Matachi, A., 2006)
Step 3: Formulate CD Strategies and plan
The CD plan is strategically positioned in relation to the broader development goals.
The 5 year CD plans shall be developed after assessment, which will be reviewed and
revised annually based on the outcome of the monitoring and evaluation. The CD plan
is developed on the basis of activities identified in the Table 2. It is important to
define priorities based on the availability of resources and also by referring to the
guiding principles. The short-term wins are necessary to energise the project
managers. The unit cost for major activities shall be provided by the concerned
Ministries. The cost of activities for which norms are not provided should be justified
properly.
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National Capacity Development Framework
Step 4: Implement CD Plan
The responsibilities of implementing CD plan may be shared with the Civil Society
Organisations and private sector actors. The lynchpin organisation should create
opportunity to expand the partnerships and growth of market.
Step 5: Monitor and Evaluate CD plan
The State and district CD Coordinators should focus on harmonisation and alignment
of these efforts apart from monitoring progress and quality. The monitoring process
provides opportunities to revisit logical linkage between project goal and activities
and assumptions. The State and district CD Coordinator should have enough authority
to readjust the CD plan based on the monitoring. Self-assessment should be
complemented by independent evaluation. The periodic impact evaluation shall be
commissioned by the MoPR.
Detailed Projects
The State Capacity Development Plan may include state plan component, district plan
components and CD plan for the service providers. Technical assistance shall be
provided by the Ministry of Panchayati Raj for the preparation of State specific
Framework implementation plan documents. State specific projects should address the
state’s priorities and its specific needs. The state should work towards the eventual
goal of having separate projects for each local government and supporting institutions
addressing their specific needs. However, this may not be possible at present.
The national project may also be developed by the national lynchpin service provider
to address generic needs of the states and facilitate cross learning among local
governments of various states. It should also aim at minimising the costs of services
and improving the quality of CD services. The capacity assessment tools that could be
easily adapted at the district and sub district level also need to be evolved. Similarly,
capacity of independent evaluators also needs to be built. Such issues could be
included in the national plan.
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National Capacity Development Framework
References
Akrimi, Neila and Jan Willem Nibbering, 2008. Capacity development for local
governance: A clear case for harmonisation and alignment with examples from Benin
(This paper is based on a presentation given at a side event of the Development
Partners Working Group Local Governance and Decentralisation during the European
Development Days, Strasbourg, 16 November 2008)
JICA (2004). JICATask Force on Aid Approaches, Capacity Development Handbook
for JICA Staff
Matachi, A., 2006. Capacity Building Framework, UNESCO, International Institute
for Capacity Building in Africa
MoPR, 2009. First Independent Review Mission for Backward Region Grant Fund,
Ministry of Panchayati Raj, Government of India, New Delhi
Otoo, S., Natalia Agapitova and Joy Behrens (2009). A strategic and results-oriented
approach to learning for capacity development, World Bank Institute, World Bank,
Washington DC
UNDP (2006). Capacity Development: Practice Note
UNDP (2007). Capacity Assessment: Practice Note
UNDP (2009). Why should governments and donors increase their investment in local
capacity development? A background paper prepared for an Asia regional high-level
dialogue on ‘Investing in Capacities for National Development’, Bangkok
Annex 1: Examples of Capacity Development Matrix
Annex 2: Glossary of Terms
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