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OVERVIEW

What is it?

Tool 7 consists of two matrices allowing a capacity development intervention to be weighted and sequenced.


What can it be used for?

Based on the output of previous tools, Tool 7 enables assessment of the complexity of capacity development needs, and translates this complexity into incremental, properly sequenced steps.


When can it be used?

The tool is relevant in the design phase, immediately prior to implementation, and has to be monitored and updated during the implementation phase.


Who can use it?

  • EU staff, stakeholders and implementing partners


What are its strengths?

  • Based on a recognition that change and reforms have varying degrees of complexity and entail an incremental process.
  • Allows for strict adherence to the intervention's specific and evolving context.


What are its limitations?

  • If too many parallel capacity development interventions are planned, and/or the level of complexity is too diversified, keeping track and updating information can become confusing.


PRACTICAL APPLICATION

Key elements

The tool proposes a three-step process.

Step 1: Assess the complexity of capacity development objectives. The first step consists of assessing the intervention's capacity development objectives, specifically:

  • the level of complexity of the issues the intervention intends to address,
  • the number and types of stakeholders who will be involved.

This step allows estimation of the level of logistic, organisational or political support needed. Table 1 provides an example for an education system showing complexity levels and the frequency and scope of user contact required.

Table 1: Example of complexity and contact levels in capacity development processes

Contact level

Low complexity, high specificity of services

High complexity, low specificity of services

Little contact with users required

Computerised teacher payroll system

Fiscal/monetary policy management

Intense contact with users required

School lunch programme; immunisation campaign

Classroom teaching quality, agricultural extension services

Step 2: Assess capacity development and change intervention options. Step 2 introduces a matrix where options can be assessed from different perspectives – functional-rational versus political – and in terms of both demand and supply sides. The resulting options should not be considered mutually exclusive.

Table 2: Four complementary options for a capacity development intervention


Predominantly functional-rational perspective

Predominantly political perspective

Internal elements: SUPPLY SIDE

Focus on getting the job done
Examples: change structures, procedures, processes, technology and skills

Focus on getting power, loyalties and incentives right
Examples: ensure promotions, firing, support to groups of reformers, sanctions against 'rent-seeking', performance-based benefits

Context or external stakeholders and factors:DEMAND SIDE

Focus on creating an enabling regulatory and supervisory environment
Examples: Modify resource envelope, legal mandate, supervisory agencies, external audits and formal governance

Focus on increasing external pressure for performance
Examples: user pressure for accountability; strengthen advocacy and lobby groups; train politicians, journalists and media; build a network for change; provide knowledge products

Step 3: Develop scoping and sequencing options. Based on the previous steps, a scoping and sequencing plan can be designed and graphically represented. The overall capacity development intervention is thus broken down in terms of its overall complexity, with each component serving as the baseline for the subsequent one.
Finally, all of the information collected through Tool 7 can be merged into a summary matrix.


REQUIREMENTS

Data/information. Most of the data/information will be in house, as Tool 7 builds on information gathered by the other tools in the toolkit.

Time. The tool is a practical instrument to support capacity development intervention design and implementation. The time required will largely depend on the complexity of the intervention, the quality of previous analysis and effective monitoring capacity.

Skills. Good analytical skills.

Facilities and materials. If a participatory workshop/meeting takes place: appropriate venue, flipcharts, cards, markers, etc., will be needed.

Financial costs and sources. If external expertise is required, funds should be made available to cover the costs associated with fees, travel expenses and logistics. These funds may come from the project itself or through other EC instruments such as a framework contract or a technical cooperation facility.

Tips and tricks
Tool 7 provides a summary of information identified and assessed by other tools. In some cases, it may not be necessary to formally complete the matrix but rather to check that all key elements have been considered and that these will inform formulation of the intervention.


RESOURCES

Where to find it

The European Commission (EC), 2010. EuropeAid. Tools and Methods Series. Reference Document N. 6 Toolkit for Capacity Development


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