CB Strategy

CAPACITY BUILDING Strategy Concept

&Action Plan 2011-2014

Water Supply and Sanitation ProjectBinh Dinh Province

February 2011

Project Capacity Building Strategy and Action Plan – 24 February 2011Water Supply & Sanitation Project for Binh Dinh Province – Belgian-Vietnamese cooperation 1/20

CONTENT

1 INTRODUCTION................................................................................................................... 3

1.1 INSPIRATION... .................................................................................................................... 31.2 FOR THE PROJECT’S CAPACITY BUILDING COMPONENT..................................................................3

2 CAPACITY BUILDING STRATEGY CONCEPT...................................................................5

2.1 THREE APPROACHES.............................................................................................................52.2 ACTORS, ROLES & RESPONSIBILITIES, RELATIONSHIPS..................................................................6

2.2.1 Rural Water Supply...................................................................................................................62.2.2 District Solid Waste Management.............................................................................................72.2.3 Irrigated agriculture...................................................................................................................9

2.3 WHY THIS APPROACH?.........................................................................................................11

3 ACTION PLAN 2011-2014..................................................................................................13

3.1 ENHANCING LEADERSHIP AND MANAGEMENT CAPACITY................................................................133.1.1 Objective.................................................................................................................................133.1.2 Target Groups.........................................................................................................................133.1.3 Activities..................................................................................................................................14

3.2 ENHANCING INTER-INSTITUTIONAL, SECTOR-WIDE CAPACITY.........................................................143.2.1 Water Supply...........................................................................................................................14

3.2.1.1 Objective........................................................................................................................................143.2.1.2 Target Groups.................................................................................................................................153.2.1.3 Activities........................................................................................................................................15

3.2.2 District Solid Waste Management...........................................................................................163.2.2.1 Objective........................................................................................................................................163.2.2.2 Target Groups.................................................................................................................................163.2.2.3 Activities........................................................................................................................................16

3.2.3 Irrigated Agriculture.................................................................................................................173.2.3.1 Objective........................................................................................................................................173.2.3.2 Target Groups.................................................................................................................................173.2.3.3 Activities........................................................................................................................................17

3.3 BUDGET........................................................................................................................... 18

4 REFERENCES.................................................................................................................... 19

5 ANNEX................................................................................................................................ 19


1 INTRODUCTION

1.1 INSPIRATION...

The concept for the Water Supply and Sanitation Project’s capacity building strategy that is proposed here, uses the insights of the following assessments, frameworks, strategies and experiences:

The project’s Technical and Financial File (TFF, 2008) The project’s baseline survey (may 2010) The project’s human resources assessment and preliminary strategy (october 2010) The UNDP capacity assessment and development frameworks (2008, 2010) WBI-insights on capacity enhancement indicators (2004) The project’s experience on ‘capacity building’ during the year 2010.

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.” (UNDP, 2010)UNDP defines capacity development as the process through which individuals, organizations and societies obtain, strengthen and maintain the capabilities to set and achieve their own development objectives over time. Capacity development is not a on-off intervention but an iterative process of design-application-learning-adjustment. (UNDP, 2008a)

The UNDP Capacity Development Framework (2008b) suggests there are three important dimensions to take into account when we want to develop capacity1:

- Points of entry / levels of capacity: capacity resides on three levels – the enabling environment (or, institutional and inter-institutional level), the organisational and the individual level.- Core issues most commonly encountered across sectors and levels of capacity: 1) institutional arrangements; 2) leadership; 3) knowledge; and 4) accountability.- Functional and technical capacities. Functional capacities are necessary for creating and managing policies, legislations, strategies and programmes. UNDP has found that the following functional capacities are key: 1) engage stakeholders; 2) assess a situation and define a vision and mandate; 3) formulate policies and strategies; 4) budget, manage and implement; and 5) evaluate. Various technical capacities related to the sectors of Rural Water Supply and of Solid Waste Management.

1.2 FOR THE PROJECT’S CAPACITY BUILDING COMPONENT

Over the years, many development programmes and projects invested heavily in training and building skills of individuals. But, there is growing recognition that the other two levels of capacity (organizational and enabling environment) must also be supported to promote sustainable capacity development.

1 The Annex provides more explanation for these topics.


The concept for the Water Supply and Sanitation Project’s (WSSP) capacity building strategy is conceived to take those three dimensions (enabling environment, organisational and individual level) into account. It does so by focusing on change in the processes of (inter-) organizational management and service delivery of the partner institutions. It is thus different from the project’s TFF, which defined the capacity building component of the project as solely focused on the individual level (through organising training activities). Other components in the TFF though describe institutional capacity building (eg. the development of district solid waste management plan). This strategy will re-organize and create a structure for several actions that the project needs to undertake, as described in the different components of the TFF.

This concept note envisions the overal capacity building strategy of the project. As stipulated above, the project has already spent 1,5 year on capacity building activities. This strategy is a way to integrate “theory” (cfr. the UNDP framework) into the daily reality and experience of the project. It structures the work of the PPMU and the involved agencies and gives insight and direction to their activities. The strategy is very much adapted to the context of the project, formalizing already existing roles, responsibilities and activities.

This overal strategy incorporates, through its structure and during the course of the project, more detailed assessments to be done, for which more detailed ‘programme responses’ (activities) shall be developed.


2 CAPACITY BUILDING STRATEGY CONCEPT

2.1 THREE APPROACHES

The strategy has three approaches, which all reinforce and overlap each other: strengthening leadership; strengthening inter-institutional sector wide arrangements; and strengthening knowledge and skills of human resources.


Leadership & Management − are willing and committed to support improvement processes− engage in long term training to improve leadership & management skills− support the inter-institutional improvement group's work

Inter-institutional, sector-wide improvement group− Develop a shared vision of governance in the sector − Initiate/coordinate/execute analysis of desired and existing

capacities and performance on institutional, organisational and individual level

− Initiate/coordinate/execute identification and definition of proposals to enhance capacities and improve performance (on the 3 levels); ensuring approval and acceptance

− Initiate/coordinate/execute implementation− Initiate/coordinate/execute monitoring and reviewing mechanism

PPMU− anticipate, catalyse, be responsive to the improvement groups’ inter-

institutional, organisational and individual development− ensure continuous (1) exchange between PPMU and partner

insititutions and (2) monitoring of attitudes, behavior, actions, activities and relationships, as well as of technical capacities.

− organize facilitation and support for the enhancement of functional capacities

− organize facilitation and support for the enhancement of technical capacities

− follow up the work of the inter-institutional improvement groups; insights serve as input to the above activities

Continuous exchange

Continuous exchange

All three approaches are assigned with roles. A continuous exchange between the three roles is essential. This is a role to be ensured by the PPMU.

2.2 ACTORS, ROLES & RESPONSIBILITIES, RELATIONSHIPS

As the WSSP is working in the targeted areas in three different sectors – rural water supply, solid waste management, and irrigation – we describe the actors, their roles and responsibilities for each sector (and area) separately.

2.2.1 RURAL WATER SUPPLY

WSSP actor Roles & responsibilities Relationship with other WSSP-actors

Leadership & management Leader(s) and managers of PCERWASS, of relevant district PC and commune PC divisions involved in rural water supply works2

- Engage & participate in long-term training program to improve its leadership and management skills

- are willing and committed to engage in processes that enhance capacities and improve performances on the level of the enabling environment (institutional, inter-institutional), on the organizational and individual level

- support the work of the sector-wide inter-institutional improvement group

Relation with inter-institutional improvement group:as a leader or manager, promote the improvement processes proposed by the improvement group within the own organization and towards other involved organizations in the sectorRelation with PPMU:as the leader of a WSSP-actor, exchange views, visions and opinions with the PPMU on any aspect related to the management of rural water supply, in order to help refining the capacity building activities

Inter-institutional, rural water supply improvement group (2)For each (2) districts one group;Chaired by PCERWASS; members are appointed managers and staff of PCERWASS and of relevant district and commune PC divisions involved in rural water supply works3 – if

- Members come together at regular times- Members take an active role in the

improvement group and as a representative in their organization for the following activities:

- develop a shared vision for rural water supply

- a nalyse – with the participation of relevant state and non-state stakeholders – desired and existing capacity and performance of processes in rural water supply works on institutional, inter-institutional, organizational and individual level

- identify and define options/proposals to improve capacity and performance of processes in rural water supply works on institutional, inter-institutional, organizational and individual level

Relation with leaders and managers (within own organization):as a representative in the improvement group of one's own organization, involve (by updating, consulting and advising) leadership and management of own organization about the improvement groups' current work and its positive and negative consequences for the organization

Relation with PPMU: as a representative of a WSSP-actor, exchange views, visions and opinions

2 Proposed: PCERWASS Leader, Leader of PCERWASS Technical and Planning Division, Leader of DPCs, Argicultural and Rural Development Division, leaders of targeted communes.3 Proposed: for each district (Thuy Phuoc and Phu Cat): Leader of DPC, PCERWASS representative, leader and 01 staff of Division of Agriculture and Rural Development, leader and 01 staff of targeted communes, and leaders of relevant private actors and social organisations.



possible, an existing inter-institutional organ/group

- implement the chosen option(s) to improve capacity and performance of processes in rural water supply works on institutional, inter-institutional, organizational and/or individual level

- monitor & review the implemented efforts to enhance capacities and improve performance of processes in rural water supply works on institutional, inter-institutional, organizational and/or individual level

with the PPMU on any aspect related to improvement of the rural water supply

Provincial Project Management Unit − within the WSSP’s vision and objectives, anticipate,

catalyze and be responsive to inter-institutional, organizational and individual development of the involved agencies represented in the improvement group

− ensure continuous (1) exchange between PPMU and partner insititutions and (2) monitoring of attitudes, behavior, actions, activities and relationships, as well as of technical capacities.

− organize facilitation and support for the improvement group’s work and their proposals for improvement of capacity and performance: to enhance functional capacities of the inter-

institutional improvement group (leadership; engaging stakeholders; assessing situations and creating vision and mandates; formulating policies and strategies; budgeting, managing and implementing; evaluating and reviewing)

to enhance the technical capacities of the relevant actors (organizations and individuals)

− follow up the work of the inter-institutional improvement groups; insights serve as input to the above activities.

Relation with leaders and managers:− ensure buy-in of leaders

and managers of the involved organizations/ agencies for the improvement group’s work

− support leadership & management skills through training programme

− ensure exchange between PPMU and leaders in order to refine capacity building activities

Relation with inter-institutional improvement groups:- ensures facilitation of

their work through involving expert (institutions); organizing exposure, networking and training activities; and supporting pilot projects

2.2.2 DISTRICT SOLID WASTE MANAGEMENT


Leadership & management Leader(s) and managers of district PC and relevant district and commune PC divisions involved in solid waste management4




Relation with inter-institutional improvement group:as a leader or manager, promote the improvement processes proposed by the improvement group within the own organization and towards other involved organizations in the sectorRelation with PPMU:



as the leader of a WSSP-actor, exchange views, visions and opinions with the PPMU on any aspect related to the management of solid waste management, in order to help refining the capacity building activities

Inter-institutional, Solid waste management improvement groups (4)Per district (4) one group;Chaired by the DPC leader; members are appointed managers and staff of relevant DPC divisions and commune PC divisions involved in solid waste management5

– if possible, an existing inter-institutional organ/group



- develop a shared vision for district solid waste management

- a nalyse – with the participation of relevant state and non-state stakeholders – desired and existing capacity and performance of processes in solid waste management on institutional, inter-institutional, organizational and individual level

- identify and define options/proposals to improve capacity and performance of processes in solid waste management on institutional, inter-institutional, organizational and individual level

- implement the chosen option(s) to improve capacity and performance of processes in solid waste management on institutional, inter-institutional, organizational and/or individual level

- monitor & review the implemented efforts to enhance capacities and improve performance of processes in solid waste management on institutional, inter-institutional, organizational and/or individual level

Relation with leaders and managers (within own organization):as a representative in the improvement group of one's own organization, involve (by updating, consulting and advising) leadership and management of own organization about the improvement groups' current work and its positive and negative consequences for the organization

Relation with PPMU: as a representative of a WSSP-actor, exchange views, visions and opinions with the PPMU on any aspect related to improvement of the solid waste management




− organize facilitation and support for the improvement group’s work and their proposals for improvement of



− support leadership & management skills through training

4 Proposed targeted leaders and managers (of the province, and of each of the 4 districts involved): Head of DPI economic division, Head of DoC infrastructure management division, Leader of DPC, leaders of DONRE, DPMU, Division of Commerce and Industry, Division of Economy, Division of Agriculture and Rural Development, Department of Urban Management AND leaders of targeted communes.5 Proposed: For each district group: Leader of DPC, leaders and staff of DONRE, DPMU, Division of Commerce and Industry, Division of Economy, Division of Agriculture and Rural Development, Department of Urban Management AND leaders, staff of targeted communes, and leaders of relevant private actors and social organisations.



capacity and performance:− to enhance functional capacities of the inter-


− to enhance the technical capacities of the relevant actors (organizations and individuals)


programme− ensure exchange

between PPMU and leaders in order to refine capacity building activities



2.2.3 IRRIGATED AGRICULTURE


Leadership & management Leader(s) and managers of Phu My district PC and relevant provincial, district and commune PC divisions involved in irrigated agriculture6

(e.g. farmers cooperatives, irrigation management company, Dept. of agricultural extension, …)




Relation with inter-institutional improvement group:as a leader or manager, promote the improvement processes proposed by the improvement group within the own organization and towards other involved organizations in the sectorRelation with PPMU:as the leader of a WSSP-actor, exchange views, visions and opinions with the PPMU on any aspect related to the management of irrigated agriculture, in order to help refining the capacity building activities

Inter-institutional, irrigation improvement group (1)Chaired by the Phu My DPC leader; members are appointed managers and staff of relevant PPC, DPC and CPC



- develop a shared vision for district solid waste management

- a nalyse – with the participation of relevant state and non-state stakeholders

Relation with leaders and managers (within own organization):as a representative in the improvement group of one's own organization, involve (by updating, consulting and advising) leadership and management of own organization about the

6 Proposed: Leader of Phu My DPC, Irrigation Division of DARD, the Irrigation Management Company (IMC), Agricultural Extension Station, Commune PC, Commune Irrigation Staff, Cooperatives, Plant Protection Station, Village leaders.



divisions involved in irrigated agriculture7 – if possible, an existing inter-institutional organ/group

– desired and existing capacity and performance of processes in irrigated agriculture on institutional, inter-institutional, organizational and individual level

- identify and define options/proposals to improve capacity and performance of processes in irrigated agriculture on institutional, inter-institutional, organizational and individual level

- implement the chosen option(s) to improve capacity and performance of processes in irrigated agriculture on institutional, inter-institutional, organizational and/or individual level

- monitor & review the implemented efforts to enhance capacities and improve performance of processes in irrigated agriculture on institutional, inter-institutional, organizational and/or individual level

improvement groups' current work and its positive and negative consequences for the organization

Relation with PPMU: as a representative of a WSSP-actor, exchange views, visions and opinions with the PPMU on any aspect related to improvement of the irrigated agriculture




− organize facilitation and support for the improvement group’s work and their proposals for improvement of capacity and performance:− to enhance functional capacities of the inter-


− to enhance the technical capacities of the relevant actors (organizations and individuals)




− support leadership & management skills through training programme

− ensure exchange between PPMU and leaders in order to refine capacity building activities



7 Proposed: Phu My DPC, Irrigation Division of DARD, the Irrigation Management Company (IMC), Agricultural Extension Station, Commune PC, Commune Irrigation Staff, Cooperatives, Plant Protection Station, Village leaders.


2.3 WHY THIS APPROACH?


Approach Dimensions focused on:

Leadership & ManagementWhy?

Need their buy in; ensures more ownership strenghten leadership and management skills

How? Chairing or advising the inter-institutional improvement

groups’ work Participating in long-term training program to strengthen

leadership and management skills; application of acquired knowledge and skills in inter-institutional improvement group

- point of entry: individual level

- core issue: leadership

- functional capacities

Inter-institutional, sector-wide improvement groupsWhy?

strengthen inter-institutional relationships across a sector: different administrative levels (provincial, district, commune) and different divisions within each administrative level work together

create awareness among managers, staff members and stakeholders about possible need for change

facilitating multi-stakeholder engagement act as a catalyst for action confirm priorities for action build political support for an agenda offer a platform for dialogue among stakeholders provide insight into operational hurdles in order to unblock

possible constraints for the project. creating space for learning by doing develop policies, laws, procedures, processes ownership of the whole process to develop the capacities of

the agencies involved (assessing, identifying & defining solutions, implementing, reviewing)

How? Represent different institutions (public and private) involved

in a sector, at different administrative levels ((provincial), districtal, commune)

meet regularly be facilitated in the coordination to 1) engage stakeholders;

2) assess a situation and define a vision and mandate; 3) formulate policies and strategies; 4) budget, manage and implement; and 5) evaluate/review

- points of entry: institutional, organisational

- core issues: institutional arrangements, knowledge, accountability

- functional and technical capacities

PPMU


Why? PPMU as a leader to promote the vision and objectives of

the project PPMU as a supervisor of the implementation of this strategy

How?Through supporting activities: Within the WSSP's vision & objectives, and fine-tuned to the improvement groups' work (assessments, proposals for improvement, …) , organize and coordinate:

− seminars, workshops, trainings/training programs, study trips etc. to enhance particular capacities (knowledge, attitudes, skills) and to instigate or facilitate particular processes, visioning, networking, etc.

− facilitating entities (e.g. private or NGO coaches) with a long-term involvement to coach leaders and managers, the improvement group or other actors and activities

− pilot projects that serve the improvement group as a way to experiment improvement proposals and gain experience for further improvement

− points of entry: organisational, individual− core issues: leadership, knowledge− functional and technical capacities

3 ACTION PLAN 2011-2014

The above strategy defines two main approaches for capacity enhancement, being: (1) enhancing leadership and management capacity(2) enhancing inter-institutional arrangements and organisational (including technical)

capacity of the involved agencies in the sectors water supply, solid waste management and irrigated agriculture.

Both approaches are concretized in the following action plan.

3.1 ENHANCING LEADERSHIP AND MANAGEMENT CAPACITY

3.1.1 OBJECTIVE

Comprehensive and systematic improvement of management capacity for the management officials, gradually meeting requirements for organizational objectives at present and in the future.

3.1.2 TARGET GROUPS

The target groups of leaders and managers are related to the inter-institutional, sector-wide improvement groups: the improvement groups namely consist of leaders and managers of different administrative levels (provincial, district, commune levels), and of different specialized divisions, all playing a role in a specific sector (water supply, district solid waste management, irrigated agriculture).

The following leaders and managers will be grouped to enhance their capacity:(1) Water Supply : PCERWASS Leader, Leader of PCERWASS Technical and Planning

Division, Leader of DPCs of Thuy Phuoc and Phu Cat, Argicultural and Rural


Development Division, leaders of targeted communes.(2) District Solid Waste Management : Head of DPI sector-economic management division,

Head of DoC Infrastructure Management; and for each district (Hoai Nhon, Anh Nhon, Phu My and Tay Son): Leader of DPC, leaders of DONRE, District PMU, Division of Commerce and Industry, Division of Economy, Division of Agriculture and Rural Development, Department of Urban Management, and leaders of targeted communes.

(3) Irrigated agriculture: Leader of Phu My DPC, Irrigation Division of DARD, the Irrigation Management Company (IMC), Agricultural Extension Station, My Chau Commune PC, Commune Irrigation Staff, Cooperatives, Plant Protection Station, Village leaders.

3.1.3 ACTIVITIES

The PPMU will contract an expert (team/institution) to set up and implement programs to enhance leadership and management of the target groups, thereby facilitating and coordinating the following activities, in close collaboration with the PPMU and under a high level of ownership of the target group:

(1) To carry out a training needs assessment of the management skills for the management officials of the sector, based on their current capacity;

(2) To develop a training plan for management skill strengthening;(3) To design (or update), and organize capacity-based training courses for

strengthening management skills for the management officials;(4) To develop a post-training supporting mechanism and policies in relation to the

work of the inter-institutional sector-wide improvement groups, to encourage conversion and use of the newly trained skills, ensuring that the management officials are enabled to apply the trained skills in practice;

(5) To organize programmes for capacity exchange among the management officials: organization of the activities for the managers to meet, exchange and assist each others for cooperation in their work; organization of seminars for sharing experiences in management;

(6) To organize study visits (with focus on management) to understand practical application and to establish partnerships;

(7) To organize seminars on key international issues within the sector, in order to provide the management officials with information and updates;

(8) To identify the necessary profiles of future managers and create conditions for recruitment and access to management positions.

3.2 ENHANCING INTER-INSTITUTIONAL, SECTOR-WIDE CAPACITY

Through the creation of the inter-institutional, sector wide improvement groups, the formal basis is established to organise the following activities that facilitate and enhance inter-institutional arrangements, to increase knowledge and accountability of the involved agencies and their policies, procedures, products and services.

3.2.1 WATER SUPPLY

3.2.1.1 ObjectiveComprehensive, systematic and gradual improvement of inter-institutional arrangements


(inter-institutional cooperation, policies, laws, procedures...), knowledge and accountability of the involved agencies to improve the services that need to be delivered to the beneficiaries in the sector of rural water supply in Thuy Phuoc and Phu Cat districts.

3.2.1.2 Target GroupsTwo separate inter-institutional improvement groups for rural water supply will be established:

(1) Thuy Phuoc inter-institutional, rural water supply improvement group : Leader of DPC, PCERWASS representative, leader and 01 staff of Division of Agriculture and Rural Development, leader and 01 staff of targeted communes, and leaders of relevant private actors and social organisations.

(2) Phu Cat inter-institutional, rural water supply improvement group : Leader of DPC, PCERWASS representative, leader and 01 staff of Division of Agriculture and Rural Development, leader and 01 staff of targeted communes, and leaders of relevant private actors and social organisations.

3.2.1.3 Activities

Besides establishing the improvement groups, the PPMU will contract an expert (team/institution) to facilitate the work of the improvement groups and coordinate the following activities, in close collaboration with the PPMU and under a high level of ownership of the improvement group:

(1) To develop a shared vision with all stakeholders about the future of the rural water supply sector in Thuy Phuoc and Phu Cat districts;

(2) To clear out the purpose of a dialogue and inter-institutional-organisational assessment, and to agree on the purpose with stakeholders;

(3) To analyse required and existing performance and capacities of the involved organisations in the sector of district rural water supply, including inter-institutional relationships and arrangements, mapping stakeholder interests and preferences, partners’ roles and responsibilities, policies, procedures, processes and services delivered to the beneficiaries of rural water supply;

(4) To identify priorities and define strategies to improve inter-institutional relationships and arrangements, partners’ roles and responsibilities, policies, procedures, processes and services to deliver to the beneficiaries of rural water supply, and agreed with all stakeholders;

(5) To develop a credible change process, a clear results framework and action plans for inter-institutional and organisational improvement, including a monitoring and review mechanism;

(6) To implement the action plan and monitor the improvement processes;(7) To evaluate the improvements and review / redefine priorities, strategies and actions

for further improvement.

As the work of the improvement groups evoluates and concrete action plans are developed, the PPMU will possibly support (technically, financially) certain proposed and well-defined activities (e.g. experiments, pilot projects, technical trainings, procurement of software for data management, ...) and organize extra supporting activities.


3.2.2 DISTRICT SOLID WASTE MANAGEMENT

3.2.2.1 ObjectiveComprehensive, systematic and gradual improvement of inter-institutional arrangements (inter-institutional cooperation, policies, laws, procedures...), knowledge and accountability of the involved agencies to improve the services that need to be delivered to the beneficiaries in the sector of solid waste management (municipal, industrial and health care waste) in the districts Hoai Nhon, Phu My, Tay Son and An Nhon.

3.2.2.2 Target GroupsFour separate inter-institutional improvement groups for district solid waste management will be established:

(1) Hoai Nhon inter-institutional solid waste management improvement group : Leader of DPC, leaders and staff of DONRE division, District PMU, Division of Commerce and Industry, Division of Economy, Division of Agriculture and Rural Development, Department of Urban Management, leaders and staff of targeted communes, and leaders of relevant private actors and social organisations.

(2) Phy My inter-institutional solid waste management improvement group : Leader of DPC, leaders and staff of DONRE division, District PMU, Division of Commerce and Industry, Division of Economy, Division of Agriculture and Rural Development, Department of Urban Management, leaders and staff of targeted communes, and leaders of relevant private actors and social organisations.

(3) Tay Son inter-institutional solid waste management improvement group : Leader of DPC, leaders and staff of DONRE division, District PMU, Division of Commerce and Industry, Division of Economy, Division of Agriculture and Rural Development, Department of Urban Management, leaders and staff of targeted communes, and and leaders of relevant private actors and social organisations.

(4) An Nhon inter-institutional solid waste management improvement group : Leader of DPC, leaders and staff of DONRE division, District PMU, Division of Commerce and Industry, Division of Economy, Division of Agriculture and Rural Development, Department of Urban Management, leaders and staff of targeted communes, and and leaders of relevant private actors and social organisations.

3.2.2.3 Activities

Besides establishing the improvement groups, the PPMU will contract an expert (team/institution) to facilitate the work of the improvement groups and coordinate the following activities, in close collaboration with the PPMU and under a high level of ownership of the improvement group8:

(1) To develop a shared vision with all stakeholders about the future of the solid waste management in the districts of Hoai Nhon, Phu My, Tay Son and An Nhon;


(3) To analyse required and existing performance and capacities of the involved organisations in the sector of district solid waste management, including inter-

8 The PPMU has already contracted a first expert team to facilitate the development of the district solid waste management plans. This will make the basis for further actions that the improvement groups (whom are already targeted and involved in the development of the district solid waste management plans) will define and implement.


institutional relationships and arrangements, mapping stakeholder interests and preferences, partners’ roles and responsibilities, policies, procedures, processes and services delivered to the beneficiaries of district solid waste management;

(4) To identify priorities and define strategies to improve inter-institutional relationships and arrangements, partners’ roles and responsibilities, policies, procedures, processes and services to deliver to the beneficiaries of district solid waste management, and agreed with all stakeholders;




As the work of the improvement groups evoluates and concrete action plans are developed, the PPMU will possibly support (technically, financially) certain proposed and well-defined activities (e.g. experiments, pilot projects, technical trainings, awareness raising material, procurement of tools and equipment, ...) and organize extra supporting activities..

3.2.3 IRRIGATED AGRICULTURE

3.2.3.1 ObjectiveComprehensive, systematic and gradual improvement of inter-institutional arrangements (inter-institutional cooperation, policies, laws, procedures...), knowledge and accountability of the involved organisations to improve the services that need to be delivered to the beneficiaries of the Hoc Mon Dam in the commune My Chau in Phu My district.

3.2.3.2 Target GroupsOne inter-institutional improvement group for Hoc Mon Dam irrigation project will be established, with the following members:

(1) Hoc Mon Dam inter-institutional solid waste management improvement group : Phu My DPC, Irrigation Division of DARD, the Irrigation Management Company (IMC), Agricultural Extension Station, My Chau Commune PC, My Chau Commune Irrigation Staff, Cooperatives, Plant Protection Station, Village leaders.

3.2.3.3 Activities

Besides establishing the improvement group, the PPMU will contract an expert (team/institution) to facilitate the work of the improvement groups and coordinate the following activities, in close collaboration with the PPMU and under a high level of ownership of the improvement group:

(1) To develop a shared vision with all stakeholders about the future of the Hoc Mon Dam irrigation project in Phu My districts;


(3) To analyse required and existing performance and capacities of the involved organisations in the Hoc Mon Dam irrigation project, including inter-institutional relationships and arrangements, mapping stakeholder interests and preferences,


partners’ roles and responsibilities, policies, procedures, processes and services delivered to the beneficiaries of the Hoc Mon Dam irrigation;

(4) To identify priorities and define strategies to improve inter-institutional relationships and arrangements, partners’ roles and responsibilities, policies, procedures, processes and services to deliver to the beneficiaries of Hoc Mon Dam irrigation, and agreed with all stakeholders;




As the work of the improvement group evoluates and concrete action plans are developed, the PPMU will possibly support (technically, financially) certain proposed and well-defined activities and organize extra supporting activities.

3.3 BUDGET

A total budget for 2011-2014 to implement this capacity building strategy is 190.000 EUR.Detailed budgeting will be developed during the first semester of 2011.


4 REFERENCES

EuropeAid, (2008). Analyzing and addressing governance in sector operations. Downloaded from http://ec.europa.eu/europeaid/infopoint/publications/europeaid/149a_en.htm

EuropeAid, (2009). Toolkit for capacity development. Downloaded from http://ec.europa.eu/europeaid/infopoint/publications/europeaid/174a_en.htm

UNDP, (2008a). UNDP Capacity Assessment Methodology User‘s Guide. Available on www.capacity.undp.org.

UNDP, (2008b). UNDP Practice Note: Capacity Development. Available on www.capacity.undp.org. UNDP, (2008c). UNDP Practice Note: Capacity Assessment. Available on www.capacity.undp.org. UNDP, (2010). Measuring Capacity. Available on www.capacity.undp.org.WBI, Yemile Mizrahi, (2004). Capacity Enhancement Indicators. Review of the Literature. Working

paper. Available on siteresources.worldbank.org.

5 ANNEX

The three dimensions of the UNDP Capacity Development Framework (2008a,b,c):

1. Points of entry / levels of capacity: The enabling environment is the term used to describe the broader system within which individuals and organizations function and one that facilitates or hampers their existence and performance. This level of capacity is not easy to grasp tangibly, but it is central to the understanding of capacity issues. They determine the ‘rules of the game’ for interaction between and among organizations. Capacities at the level of the enabling environment include policies, legislation, power relations and social norms, all of which govern the mandates, priorities, modes of operation and civic engagement across different parts of society.The organizational level of capacity comprises the internal policies, arrangements, procedures and frameworks that allow an organization to operate and deliver on its mandate, and that enable individual capacities to work together and achieve goals. The individual level, at which capacity refers to the skills, experience and knowledge that are vested in people. Some of these are acquired through formal training and education, others through learning by doing and experience.

2. Core issues most commonly encountered across sectors and levels of capacity: Institutional arrangements refer to the policies, procedures and processes that local governments have in place to legislate, plan and manage the execution of development, rule of law, measure change and such other functions of state. By its nature, the issue of institutional arrangements shows up in every aspect of development and public sector management. The capacity development response under this core issue focuses on ensuring that the best possible institutional arrangements are in place to achieve the agreed development objectives or results. It includes, for example, actions to ensure that coordination mechanisms are set up and function; human resource management is guided through uniform and predictable frameworks; monitoring and reporting is used as a tool for performance enhancement; that there are sufficient motivating factors to best utilize existing capacities; and that institutions are designed to consult their primary stakeholders.Leadership is the ability to influence, inspire and motivate people, organizations and societies to achieve


http://ec.europa.eu/europeaid/infopoint/publications/europeaid/174a_en.htm

http://www.capacity.undp.org/




- and go beyond - their goals. An important characteristic of good leadership is the ability to anticipate (sometimes catalyse), be responsive to and manage change to foster human development. Although leadership is most commonly associated with an individual leader, from a village elder to a country’s prime minister, it can equally reside within a government unit that takes the lead in implementing public administration reform, or in large social movements that bring about society-wide change. Development actions for good leadership have, at the core, a strong attitudinal and behavioural base.Knowledge refers to the creation, absorption and diffusion of information and expertise towards effective development solutions. What people know underpins their capacities and hence capacity development. Knowledge needs can be addressed at different levels (e.g. national/local/sector) and through different means (formal education, technical training, knowledge networks and informal learning). The growth and sharing of knowledge is primarily fostered at the level of the individual, but it can also be stimulated at the level of organizations, for example, through a knowledge management system or an organizational learning strategy. Capacity development actions to deepen and expand the contribution of knowledge include, for example, supporting continued learning for the civil service, access to exchange of south-south solutions and expanding the domestic R&D/consulting services market.Accountability exists when two parties adhere to a set of rules and procedures that govern their interactions and that are based on a mutual agreement or understanding of their roles and responsibilities vis-à-vis each other. Put differently, it exists when rights holders and duty bearers both deliver on their obligations. This manifests itself in day-to-day engagements, such as in the relationship between a service provider and a client, between a teacher and a student, between an employer and an employee, between a state and its citizens, between a provider of development aid and its recipients and so on. Why is accountability important? It allows organizations and systems to monitor, learn, self-regulate and adjust their behaviour in interaction with those to whom they are accountable. It provides legitimacy to decision-making, increases transparency and helps reduce the influence of vested interests. Accountability is therefore a key driver of development results.

3. Functional and technical capacities. Functional capacities are necessary for creating and managing policies, legislations, strategies and programmes. UNDP has found that the following functional capacities are key: 1) engage stakeholders (e.g. political, economic and social leaders, beneficiaries, civil society representatives, private sector partners, employees, academics, the media, various public interest groups, …); 2) assess a situation and define a vision and mandate; 3) formulate policies and strategies; 4) budget, manage and implement; and 5) evaluate.Technical capacities are associated with particular areas of expertise and practice in specific sectors or themes, such as Rural Water Supply, Solid Waste Management, or Irrigated Agriculture.Generally speaking, the functional capacities underpin or support the technical capacities needed in a certain sector or thematic context, as shown in the figure below. For example, supporting the capacities of local irrigated agriculture may require support for its capacities to plan, implement and review its activities, combined with specific technical skills to design a system for recycling waste.

Figure: Combining Functional and Technical Capacities


Functional capacities

Technical capacities

Documents

CB Strategy