12

3.

PAST APPROACHES AND LESSONS FOR HUMAN CAPACITY DEVELOPMENT

This section provides comment on historical approaches to capacity development, and on successes and failures in attempts to build capacity6. Although our focus is on fisheries, we have not restricted our thinking to this sector, as much valuable experience can be gained from looking outside the sector. 3.1 Historic approaches

Given our previous categorization of capacity development needs into the three key pillars/groupings of capacity development as shown in Figure 2-1 on page 11, the following review also describes historical approaches based on this categorization. The review draws from an extensive literature review together with telephone interviews with key players, both within FAO and in other agencies. A full list of persons contacted is included in Appendix C (numbered to cross-reference personal communications noted below) and a summary of some of the main HCD initiatives reviewed is also provided in Appendix D (cross-referenced to the appropriate section in the Appendix). Within fisheries Fisheries science, research and development: a primary objective of FAO and donor-funded fisheries technical assistance (TA) projects, as well as of developing countries themselves, has been the development of a science-based approach to fisheries management (7, 18, 25). This has traditionally focused upon standard fisheries science such as stock assessment and population dynamics, as well as on technological development of catching and post-harvest methodologies. The needs were usually defined during project preparation by donor representatives, usually consultants, often with only limited or informal participation from the client institution (18, 20, 25). The clients themselves were usually Government research institutions (20), with training focusing on mid-ranking scientists (20, 25). The training itself was usually delivered by short or long-term specialists attached to the institution and was often reinforced by sending key host country individuals to post-graduate level courses overseas in developed countries (typically Masters level) or to complete a doctorate (20). Training was therefore fairly long-term (i.e. one year plus) and related to technical capacity development. In addition a number of developing countries e.g. Indonesia, China, and countries in the South Pacific, have instigated university programmes aimed at developing marine science capabilities (Soegiarto and Stel 1998, South and Veitayaki 1998). Fisheries sector management: as with fisheries science, the historical approach to HCD in the area of sector management has been very much project-based, with most larger fisheries projects over the 1980s and 1990s containing some element of institutional strengthening. Again this has been largely donor-driven, focusing upon the institutional capacity of recipient Governments to develop and implement sectoral policy. In many cases management training has been provided as an add-on to more traditional technical assistance, to address management weaknesses that the donor considers might threaten the success of the main programme (18, 20). Traditional clients have sometimes resisted such assistance, possibly indicating insufficient donor-client engagement in agreeing the needs for the reform. Again, training has traditionally been conducted by international specialist assistance in planning, management and more rarely, administration (25). This locally-based assistance is sometimes supported by short overseas courses (generally 3 months) in general management, together with specialist subjects such as procurement or development planning (24, 25). A popular approach by donoraided projects, especially in Asia, has been the use of regional study tours, where the benefits of proven management approaches can be demonstrated and participants can directly discuss the appropriateness of their application to their own situations and circumstances (18, 25). Problems have been encountered in selection of those being trained overseas sometimes those approved by the project recipients are chosen for political reasons because overseas training is seen as a perk, and not because they are necessarily the most appropriate people to be trained.

6 In this paper, historic approaches essentially focus on initiatives that reflect the pre-Reykjavik (2001) ecosystem approach to fisheries management and on donor activities pre-2000.

13 Societal Skills and knowledge: as already mentioned, donor attention prior to the early 90s was very much focused on technical skills and knowledge and improving mid-level management in the public sector. However over the 1980s there tended to be a broadening in skill areas, especially into crosscutting issues such as gender mainstreaming, environmental impact assessment (EIA) and environmental awareness (25). There was increasing awareness of the need for stakeholders to engage in fisheries management, both in terms of participating in decision-making as well as enabling their ability to respond to changing circumstances. The main capacity-building focus was on community mobilization and empowerment of fishing communities, largely through NGO intermediaries (27). Outside fisheries Integrated coastal area management: over the last decade, integrated coastal area management (ICAM) has become an important component of multi-sectoral planning and co-ordination in coastal areas, integrating coastal fisheries and aquaculture with other coastal users such as tourism, urban and industrial development, marine transportation and, increasingly, maritime biodiversity conservation. Although ICAM courses are often driven by the need for a multi-sectoral commitment to natural resource management, they also echo a need to respond to better physical planning in a potentially high conflict geographic zone. For instance in the UK, the Royal Institution for Chartered Surveyors (RICS) have been an important driver in formulating ICAM capacity-building needs (24). This discipline provides some interesting lessons for the ecosystems approach to fisheries, as both have been recently introduced and require a considerable widening of skills and knowledge and strengthening of capacity. Dedicated ICAM courses, as apposed to technical courses with a multi-disciplinary leaning have only really appeared over the past decade (Balgos 1998). The skill sets involved are relatively novel, involving a combination of physical planning, institutional and conflict management, law and policy development. In additional, some technical skills are also required, such as geographical information system (GIS) development and use. Course designs have responded to perceived market needs, although real needs assessments against practical ICAM capability limitations are rarely conducted (24). Training recipients are mainly senior to middle-level management from Ministries, but also researchers from academic institutions involved in coastal management, municipal agricultural officers, development workers from NGOs and project staff from foreign funded projects (Balgos 1998). It has often been difficult to identify appropriate individuals for ICAM training due to the lack of permanent positions available (often ICAM is donor-driven with staff drawn from single sectors for only the project duration), although it is recognized that awareness-building amongst different coastal sectoral players is key to promoting a culture of integrated management. The majority of courses are at Masters level (1-2 years), although a regional capacity for training, especially in Asia, has given rise to increasing numbers of bespoke ICAM short courses and workshops (1-2 weeks). At present there are very few undergraduate courses in the ICAM disciplines (24). Agriculture and forestry: historical experience of HCD in the agriculture and forestry sectors appears similar to fisheries (see previous section) in that it has been largely donor-driven, with training needs being identified quickly at the project formulation stage rather than through more detailed and formal training needs analysis during project preparation or implementation, or by studies of greater depth (17, 22). Because many of the primary needs were originally technical skills these were reasonably easily identified (17). However, as solutions to development limitations have become more management-based, specific skills weaknesses have became more difficult to identify. In addition project-specific priorities may not reflect national priorities (21). The main targets were originally mid-level managers (17), although this gradually extended to extension workers (17) and involved increasing levels of training of trainers (16). The primary training method used has been workshops varying for 3-5 day to two weeks in duration. Overseas training, especially in development policy and management, has also been provided to mid and senior level managers. Although the primary focus has been on public sector institutions there have also been efforts to develop private sector agribusiness, especially in the areas of integrated pest management (IPM), processing and marketing.

14 3.2 Successes and failures in capacity development

3.2.1

What is success, and who defines it?

How successful have these previous approaches to capacity development been? This immediately raises three important questions. Firstly, what aspects of capacity development can be measured? Secondly, who defines success or failure? And thirdly, what is capacity development for? Capacity development as a theme now pervades the work of most donors, yet it is difficult to find good examples of indicators that have been used to assess capacity development initiatives that extend beyond measures of inputs e.g. number of staff trained, or outputs e.g. number of smallholders visited made by extension staff (Morgan, 1997). In part this is because at one level capacity development may involve improvements to administrative procedures or organization skills of individuals. But, it may also involve changes in the pattern of societal politics, the growth of social capital, or improvements in the enabling environment as described in Figure 1-1. At this level, capacity development almost becomes synonymous with development itself. Some of the results of capacity development such as attitude change, organizational behaviour and the ability to develop and adopt new ideas are not easy to measure. Because capacity development must be considered in terms of systems and an overall development context, capacity constraints often stem not from a single cause but from a more profound pattern or structure in the enabling environment (Morgan, 1997). This means that while capacity in individuals may be enhanced and measured as having been so, the potential of these individuals to utilize such new capacity may be limited by other factors within the broader system. So input or output indicators may not be reliable as measures of overall success. Furthermore, the link between cause and effect are often unclear because of complex relationships operating in uncertain and rapidly changing environments, and it is frequently difficult to follow clear results chains or to have great certainty that indicators explain complex systems. Morgan argues for a more integrated and balanced approach to capacity development and its measurement through indicators of process (i.e. the efforts to induce improved capacity), product (i.e. the actual new capacities or abilities produced), performance (i.e. the substantive development outcomes and impact that result), and permanence (i.e. its sustainability). Historically the measurement of success in capacity development projects has largely been conducted by, and for, donors. This has resulted because of the need for donors to demonstrate value for money, and because officials in developing countries are often more concerned with conducting their day-today line functions under numerous constraints in their external environment, than with strengthening internal abilities. This has led to a focus on performance and product aspects of projects in both design and monitoring, with less attention on process issues such as effective ways to achieve development of staff skills and knowledge, levels of decentralization, aspects of the enabling environment and so on. In addition, while sustainability is often considered in some token form in project evaluation, the timing of evaluation missions on immediate completion of project activities, does not allow for adequate time to have elapsed so that a true level of sustainability can be assessed7. Furthermore, even if a wide range of stakeholders are involved in an assessment of success, interpretation of success is likely to be very different based on the differing viewpoints of such stakeholders, and their objectives. The answer to the question what is success? is strongly determined by what capacity is being developed for, and what the key objectives of such capacity development are. For example, an initiative to foster improved fisheries management may have a conservation or bio-ecological objective, a social objective or an economic objective. Ultimate success in terms of the conservation objective might be achieved if capacity development results in a performance whereby the stock is being fished at a sustainable level. However stock sustainability can only be achieved though a multiple of factors apart from the technical capability of management institutions so other more directly linked and measurable indicators are required.

JICA provides an interesting exception, with routine evaluation taking place 5 years after projects have been completed.

15 Success in social terms may be realized if capacity is developed so that the cultural values are maintained, communities remain sustainable, social benefits are equitably distributed, and so on. In economic terms, success may be realized if the fishery is managed to maximize the economic benefits from the resource, and the levels of resource rent being generated. Finally, there may be a more general developmental objective, whereby fisheries are managed with the intention of maximising benefits to overall development levels in a country as a whole (Bennett, 2003). Fulfilling different objectives will require different aspects of capacity development, and if the objective of an initiative is to development capacity for better fisheries management, the view about its success will depend greatly on different perspectives of success generated by different objectives. But more than this, capacity development is valuable in its own right, over and above the changes in performance (whether economic, biological, social or developmental) that it may bring about. As Morgan points out, policies, goods and services may change and become obsolete, but living capacity can mutate and survive (Morgan, 1999). As such, capacity development is therefore both a means to an end, but also and end to itself and assessing success requires a balanced approach between these views (Lavergne and Saxby, 2001).

3.2.2

Evidence of successes and key lessons

As part of the preparation of this paper, we reviewed nine evaluation reports completed in the last ten years. The reports were provided by the FAO PBEE Service and covered projects in different sectors (e.g. forestry, horticulture/agriculture, eco-development, fisheries), in India, Bhutan, Gambia, Sri Lanka, Sudan, Kenya, and Eritrea, but all focused specifically on strengthening of institutions or capacity for management. The review highlighted a mixture of success and that initiatives are rarely either judged as completely successful or unsuccessful, and that successful capacity in individuals, institutions or sectors involves some or all of the following: ability to adapt behaviour and attitudes based on learning; desire and ability to establish new relationships with other projects, groups or organizations; the ability of institutions to recruit and maintain staff to conduct necessary functions based on their core capabilities, and to have sufficient facilities to undertake functions; the ability to be taken seriously by other actors, and to have a degree of political clout which enables them to effect change within the overall societal context; the ability to plan and strategize, to set objectives, and implement solutions; the ability to disseminate knowledge, information, and capacity skills.

In the early 1990s the UNDP published the results of a review of the effectiveness of technical cooperation (Berg and UNDP, 1993). Most of the reviews from 30 countries in Africa reached similar conclusions: that technical cooperation had proven effective in getting the job done, but less effective at developing local institutions or strengthening local capacities; and that it was expensive, donordriven and focused on high-profile activities to suit donor constituencies, often served to heighten dependence on foreign experts, and distorted national priorities. Concern was also increasingly expressed in the 1990s over insufficient ownership over development initiatives (Fukada-Parr et al., 2002), and a lack of sustainability, both of which were reducing the impact of donor initiatives. Some interesting lessons from capacity development initiatives, presented in tabular form, were also gained from country presentations made at the International Symposium on Capacity Development, held in the Philippines in January 2003 (UNDP, 2003), organized jointly by JICA, UNDP, the WBI, and CIDA. The symposiums main objective was to facilitate the exchange of views among donors, recipient countries and other development practitioners on capacity development. There were more than 120 participants in the symposium.

16 Table 3-1: Lessons from capacity development initiatives

Country Philippines Ethiopia Key lessons and initiatives Lack of sustainability due to weak ownership and too donor driven. Projects now working at individual, organizational and societal levels. Government recently developed a 5-year national capacity development strategy to accompany the implementation of the countrys PRSP, and has developed a Ministry for Capacity Development. Development of the PRSP used as a vehicle to enhance civic participation and a re-building of relationships between government and civil society, although some concerns expressed about too strong donor role in preparation of the PRSP. Lessons about the need for demand driven approaches have resulted in a nationally driven programme to promote sustainable development through activities to strengthen capacity at three levels the enabling environment, strengthening organizations, and building skills adopting a long-term and flexible approach. Government capacities in aid management have not proven sufficient to deal with donor programmes in the past and have affected the quality of programme design and implementation. Efforts are now underway to enhance democratic principles at the grassroots level, to improve transparency of government, and to strengthen project management skills. National ownership of initiatives is derived from consensus that is built up among different stakeholders, and capacity is itself needed for this. Donors need to facilitate assistance, rather than deliver it. Leadership skills of key individuals are fundamental. External aid in capacity development has played a key role in the first stages of development. Project success depends on shared ownership and key political will/support, which can easily be eroded if donor involvement is too heavy-handed. Developing NGO capacities has been crucial in assisting them in taking up service delivery functions as a partner of government, as well as in promoting and managing local partnerships. There have been relatively few positive reform experiences particularly with respect to the public sector in the country, largely because efforts are improving public sector performance have focused on improving infrastructure and technology while investments in human resources development and policy management have generally been neglected. The public sector has become increasingly politicized, with capable individuals leaving for other activities. There have been too many repetitive consultant reports with not enough focus on implementation. Rapid turnover of staff, and isolation of project implementation units within institutions as part of project-based approaches, has meant that there is little institutional memory of previous initiatives and this has encouraged a donor-driven agenda. While there is a general shift to sector-wide programme approaches, projects can continue to play an important role in testing innovative practices, and by providing a framework for oneto-one learning between technical assistants and local professionals. Flexible approaches are crucial, and there is a need to combine programme based approaches with project approaches. Sector-wide approaches have merits but their application assumes that there is transparent and accountable government, that checks and balances on government performance are in place, and that the policy of government necessarily reflects the will of the people. One such project is a sub-programme of the DFID-financed Improving support for enhancing livelihoods of the rural poor programme entitled Improving livelihoods through natural resource conflict management. This demonstration programme is under the joint supervision of an FAO Team (members in both FAO HQ and Accra) and the Ghana Conflict Management Training Advisory Committee, which has a couple of FAO members and the rest from Ghana institutions, agencies, NGOs, etc. Source: Berg and UNDP, 2003

Jamaica

Viet Nam

Bolivia

Kazakhstan

Central Asian Region Lebanon

Ghana

Based on the above, a number of key lessons have been distilled from the capacity development literature covering both fisheries and non-fisheries sectors. They suggest that the more of these lessons capacity development initiatives adopt, the more likely they are to be successful. These lessons were also discussed and further developed at the Working Party. The lessons are presented in a summary table overleaf, followed by greater explanation and comment on each one.

17 Table 3-2: Summary of key lessons learned from previous initiatives 1. Capacity assessment 2. 3. The process of human capacity development itself can add value to overall capability, as well as result in the improved performance of the individuals, groups and organizations. Initiatives should take account of, and be tailored to, existing levels of core capacities and involve a two-way process of knowledge transfer and acquisition. Human capacity development initiatives need to identify the individuals and organizations that will champion the process and can adopt and lead human capacity development. There is a need for better integration of human capacity development initiatives with national planning processes, and especially between policy, management and research. Capacity development initiatives should establish an adequate level of participation in their needs assessment, design, implementation and monitoring.

4. 5.

Needs analysis Sustainability Enabling environment Delivery

6.

Initiatives should provide adaptive, flexible and suitable learning pathways, taking into account the individuals work environment, lifestyle and aspirations. 7. Incentives and mechanisms should be provided to support recipients of human capacity development. 8. Human capacity development is a long-term process that requires continued support through national initiatives and partnerships. 9. Efforts should be made to retain capacity investment within the fisheries sector. 10. Those delivering human capacity development initiatives should themselves have the necessary knowledge, skills and abilities to provide human capacity development. 11. Approaches to capacity development should take greater cognizance of the overall societal context and the political influence of supported institutions and sectors. 12. Approaches should ensure an adequate focus on the social, economic and environmental context in which technical solutions are being implemented. 13. Initiatives should capture and enable attitudinal changes and skills that are likely to result in a collective sense of purpose and progress. 14. Initiatives should recognize the need for an enabling environment that provides the incentive to promote the use and further development of the enhanced capacity. 15. One size does not fit all - planning of human capacity development should take into account the realities of the overall environment under which capacity enhancement will take place.

Capacity assessment Lesson 1: The process of human capacity development itself can add value to overall capability, as well as result in the improved performance of the individuals, groups and organizations. Given the centrality of capacity development to any type of performance improvement, capacity development can be considered an end in its own right (UNDP, 2003; Morgan, 1997). Lesson 2: Initiatives should take account of, and be tailored to, existing levels of core capacities and involve a two-way process of knowledge transfer and acquisition. Increasingly it is realized that much knowledge already resides in developing countries, and that this knowledge needs to be utilized, adapted and built upon (UNDP, 2003; Jodice et al., 2003; Kullenberg, 1998; Crawford et al., 1993).

18 Lesson 3: Human capacity development initiatives need to identify the individuals and organizations that will champion the process and can adopt and lead human capacity development. Success of capacity development initiatives may depend to a large extent on the availability of just one or two key individuals who are sufficiently motivated. But it should also be noted that all the necessary skills and knowledge for successful capacity development can not exist in one person (UNDP, 2003; FAO, 1998; Nchinda, 2002; Jodice et al., 2003). Lesson 4: There is a need for better integration of human capacity development initiatives with national planning processes, and especially between policy, management and research. This applies to integration of initiatives with overall governmental planning, with other initiatives and projects, and at the local, regional and international levels through the use of partnerships. Approaches relying solely on a project-based approach, without support for capacity development at the sector/planning level may have limited success. Support must also be provided for better links between a) research and policy makers in developing countries, b) between researchers in developed and developing countries, and c) peoples in developing countries. There has often been a failure of researchers to provide information in a form that is useful to policy makers, and an indifference to their work by staff in Ministries. Strengthening of research links between developed and developing countries can also be beneficial and favoured to both groups so that developing countries are better informed of recent international developments, and developed country researchers are provided with opportunities for conducting research in interesting settings from which they can publish. Greater cooperation between developing countries is also important with respect to sharing of tacit knowledge among peoples who have encountered similar development challenges and circumstances. (Nchinda, 2002; Jansky et al., 2003; Bolger, 2000; Chakalall et al., 1998; Okemwa, 1998; Snoussi and Awosika, 1998; UNDP, 2003; Montero, 2002; FAO, 2000; Morgan, 1997; UNDP, 1996; UNDP, 1995; Hondandale and Cooper, 1989; South and Veitayaki, 1998; Akiwumi and Melvasalo, 1998). Needs analysis Lesson 5: Capacity development initiatives should establish an adequate level of participation in their needs assessment, design, implementation and monitoring. One of the main lessons learned over the past decade is the benefit of a formal needs analysis process in setting training objectives and subsequent curriculum development. There is a need for a broad-spectrum, strategic approach to assessing capacity-building needs at relevant sectoral and geographical scales (20, 24). Making this participatory would ensure greater success in projects, and wider ownership of projects itself considered a crucial factor in success. On a practical level, it would help for example to ensure that the length of a training course suits an individuals needs and is acceptable to institutions that may have to release staff for such training. It would also help to ensure that sufficient staff are available for training, and that clients have the opportunity of providing input into the definition of course contents. However, greater participation by recipients in project design, itself often requires capacity development, and there is still an important role for widely-experienced specialists from both incountry and overseas in training needs analysis (TNA) to provide an external perspective (17, 18, 19, 20, 25, 27). PRSPs provide an opportunity to examine the extent to which capacity development principles, especially in terms of participation, are being implemented. Whilst PRSPs are intended to reflect national priorities and to be based on a participatory process of dialogue and consultation, the experience appears mixed (UNDP, 2003; Jodice et al., 2003; Allison, 2003; Bolger, 2000; FAO, 2000; Gladstone, 2000; Stel, 1998; FAO, 1998; Balgos, 1998; FAO, 1996; UNDP, 1995; Pido, 1995; Hanna, 1996; Snoussi and Awosika, 1998). There is often little feed-back from trainees on the actual effectiveness of the capacity-building initiative. There is therefore need for more ex-post evaluation to ensure that courses address the real needs of participants. Frequently insufficient funding is the main barrier to this process. Delivery Lesson 6: Initiatives should provide adaptive, flexible and suitable learning pathways, taking into account the individuals work environment, lifestyle and aspirations. There is an important need to fit initiatives with individuals work environments, lifestyles and aspirations, and to ensure that individuals can continually build on the capabilities (Jodice et al., 2003; Bolger, 2000).

19 Lesson 7: Incentives and mechanisms should be provided to support recipients of human capacity development. Formal training processes are frequently disruptive and may take recipients away from their livelihoods and families. It is important therefore to ensure that sufficient support is provided to ensure that capacity development opportunities are not hindered by prolonged income loss or reduction in quality of life. Lesson 8: Human capacity development is a long-term process that requires continued support through national initiatives and partnerships. It therefore requires long-term support and linking of short-term and long-term strategies (UNDP, 2003; FAO, 2000; Bolger, 2000; Stel, 1998; UNDP, 1996; Nchinda, 2002; Crawford et al., 1993). Lesson 9: Efforts should be made to retain capacity investment within the fisheries sector. Whilst it is appreciated that the impacts of capacity development should not necessarily be contained within the fisheries sector, where possible efforts should be made to retain a sufficient skills and knowledge base within the sector. Lesson 10: Those delivering human capacity development initiatives should themselves have the necessary knowledge, skills and abilities to provide human capacity development. This requires donors, NGOs, and government departments assisting others to develop, to themselves undergo change, acquire new skills and knowledge, and adopt new approaches. This will ensure that capacity development is not stuck at the conceptual level, and can be successfully delivered to those in need . Enabling environment Lesson 11: Approaches to capacity development should take greater cognizance of the overall societal context and the political influence of supported institutions and sectors. Initiatives must recognize that capacity constraints are likely to stem from more than a single cause and will possibly/probably be strongly influenced by factors outside the realm of project activities. High-level political support for capacity development is likely to be essential if efforts are to prove successful (UNDP, 2003; Allison, 2003; IDDRA, 2003; UNDP, 1996; Morgan, 1997; FAO, 1996; Bossert, 1990; Soegiarto and Stel, 1998; Snoussi and Awosika, 1998). Lesson 12: Approaches should ensure an adequate focus on the social, economic and environmental context in which technical solutions are being implemented. i.e. are more systemsbased approach, as these factors may have at least as much importance as technical issues themselves in project success (Young, 1998; UNDP, 1996; UNDP, 1995; UNDP, 1996). Lesson 13: Initiatives should capture and enable attitudinal changes and skills that are likely to result in a collective sense of purpose and progress. Certain initiatives can put forward new ideas and values which create of a new flow of legitimacy, information and expectations that in turn result in a collective sense of purpose and progress (Morgan, 1997; FAO, 1996). Lesson 14: Initiatives should recognize the need for an enabling environment that provides the incentive to promote the use and further development of the enhanced capacity. Capacity being developed in individuals must be rewarded in some way, whether it is through increases in salary/income, job responsibility, career progression or promotion. This requires good management and administration skills and knowledge to increase retention levels. Importantly, it also requires those trained to be able to put their new skills into practice there is nothing more dis-empowering than providing individuals with new skills and expectations, but no outlet in which to exercize them. At the organizational and societal level, transparency, accountability, the rule of law, and security all constitute important incentives. The market place to, in the form of competition, can provide incentives and effective stimulus to improving performance and attracting good capacity, as can motivation and peer pressure (UNDP, 2003; Bolger, 2000; Chakalall et al., 1998; Morgan, 1997; FAO, 1996; Nchinda, 2002; Crawford et al., 1993; Jodice et al., 2003). Lesson 15: One size does not fit all - planning of human capacity development should take into account the realities of the overall environment under which capacity enhancement will take place. While seeking conceptual clarity and indeed consensus around notions of capacity development, there is a need to recognize the virtues of applying diverse approaches when operationalizing the concept (UNDP, 2003).

20 Finally, Bianchi (FAO/FIRM, pers. comm.) argues that whilst there have been many examples of successful capacity development programmes that have brought both individuals and institutions forward, a key important issue is that of sustainability of capacity development efforts. Experiences show that capacity can be developed at the individual/institutional level, but often this is not sustainable because: Individuals use their new capacity to move away from institutions to higher or more lucrative positions (and not always within the same sector). There is often no mechanism (e.g. local university courses or on-the-job training initiatives) for replenishing trained personnel that move out (particularly in the case the development project that provided training means). The enabling environment is basically the societal situation that does not depend on capacity development only, but on the overall socio-economic situation in the country. Well functioning institutions can only develop in well functioning societies. However appropriate and efficient the capacity development is, sustainability will only take place in an appropriate societal context. Unfortunately such context does not exist in many developing countries. Institutions in developing countries have often been the target of capacity development projects by various bilateral and multilateral agencies, both in fishery science and management. The lack of a coherent framework for priority issues and solutions often creates confusion.

4.

CURRENT APPROACHES TO HUMAN CAPACITY DEVELOPMENT AND A REVIEW OF DELIVERY MECHANISMS

In addition to a review of literature and interviews which generated the findings above, we have also interviewed a wide range of donors to establish up-to-date information on current approaches to capacity development initiatives, to assess how the lessons learned as described earlier are impacting on current initiatives. This section is divided into three parts. Firstly, we present an overview of the current direction of capacity development in the fisheries and other sectors with personal communication referenced by number to Appendix C (Persons consulted) and Appendix D (Review of HCD Approaches). Secondly we discuss an assessment of training needs assessment and curriculum development as already identified, the ability to successfully target training needs has proved an essential element in successful capacity development. In the third section we review a wide range of different mechanisms, all in use to varying degrees, and highlight some especially interesting examples in the text. 4.1 Overview

4.1.1

Fisheries sector

Fisheries sciences, research and development: the adoption of the ecosystem approach to fisheries management has changed the requirements for technical skills in a number of ways. Firstly it has widened the skills and knowledge required to include ocean and climate sciences, species and habitat ecology and ecosystem modelling. Secondly it has increased the level of information and analysis required, although an adoption of the precautionary approach to fisheries management might actually reduce this (NMFS, 2000). The ability to compile, analyse and disseminate large amounts of spatially disaggregated data information will also be an increasingly important requirement for ecosystembased management, especially as ecosystem modelling inevitably moves from academia to practical fisheries management. Capacity development initiatives to fulfil these requirements are beginning to be put in place (see Appendix D-13), but the capacity to define ecosystems and implement an ecosystems-based approach to fisheries management remains far off in many countries. Fisheries sector management: with the increasing adoption of the sustainable livelihood approach (SLA) over the past decade, training areas, targets and delivery have all changed (18, 19, 20, 24, 25). Whilst there is still a strong interest in technical and science capacity development, there has been a

21 recognition that this needs to operate within an improved framework of good sectoral management and better understanding of livelihoods and poverty issues that fisheries are managed for people, not for the fish. This in turn has led to more emphasis on sector planning, policy issues, poverty assessments, and the use of the SLA to enable a greater understanding of the many factors affecting peoples livelihoods. There is also greater recognition in theory, and in practice, of the importance of the need to involve and consider the impacts of other sectors on fisheries. This is all representative of a more holistic approach being taken. Whilst the SLA has been targeted at traditional public sector clients, it has tended to focus on niche groups responsible for artisanal fisheries development rather than mainstream fisheries planning and administration. The reluctance of some fisheries administrations to integrate the sustainable livelihood approach SLA into their sector management responsibilities has meant that a number of donors have increasingly concentrated human capacity development initiatives on proven non governmental organizations (NGOs), especially through short, in-country training of trainers courses (24, 25). With the advent of the SLA, capacity development of societal actors has necessarily gained considerable donor support. Operating largely outside the traditional public-sector client base, this has focused upon community groups and their champions such as NGOs. Many capacity development initiatives are implemented through locally-based NGOs, who are able to rapidly build trust with fishers and mobilize recipient groups. As a result, the NGOs are usually the primary human capacity development recipients in both direct skill development (i.e. stakeholder identification and consultation, relationship building and empowerment) as well as a conduit through training of trainers. As mentioned above, these are usually applied through workshops (3-5 days) as well as in-country training. In aquaculture too there is now a recognized need to move away from capacity development based purely on biology and technical issues, to cover subjects such as (i) social and economic aspects, (ii) communication skills, (iv) human resource and business management, (v) issues concerning environmental sustainability and (vi) development planning, policy and regulations (De Silva, 2000). Societal skills and knowledge: Good governance and policy development (see Box 2) in particular have emerged as key concepts (19, 25), driven by globalization, emerging international agreements, greater cooperation8, emerging technologies and the recognition that in most cases, present systems of fisheries governance have failed to ensure resource conservation and economic efficiency (Swan, 2000). Box 2: Governance in fisheries Governance is often incorrectly equated with management. In fact, the term is intended to make people stop and think about non governmental roles in fora where the word management is too often taken to refer to purely governmental action (Adams, 1996). Governance relates to government, civil society and the private sector. Under most of the definitions recently put forward, good governance is used to describe a particular philosophy of management that is not purely top-down, but which emphasizes the word community and, like all good management approaches, makes extensive use of dialogue and mutual agreement before taking action. Fisheries governance is defined as a continuing process through which governments, institutions and stakeholders of the fishery sector administrators, politicians, fishers and those in affiliated sectors elaborate, adopt and implement appropriate policies, plans and management strategies to ensure resources are utilized in a sustainable and responsible manner. It could be at a global, regional, sub-regional, national, or local level. In the process, conflicting or diverse interests may be accommodated and cooperative action may be taken (Swan, 2000). The characteristics of good governance include it being: responsive, participatory, transparent, equitable, accountable, consensus orientated, effective, and efficient.

See Swan, J. and Satia, B., 1999. Contribution of the Committee on Fisheries to Global Fisheries Governance, 1977 1997. FAO Fisheries Circular No. 938.

22

Rural power structures can have a strong influence on the success of fisheries development initiatives in coastal and inland artisanal areas as entrenched interests may overcome the common good. Approaches to address this at community level, such as the World Bank and DFID Fourth Fisheries Project in Bangladesh or the Integrated Lake Management (ILM) project in Uganda have focused on local empowerment by enabling stakeholders to take responsibility for the development, monitoring and enforcement of fishing rules through co-management. Many initiatives are now beginning to focus conflict resolution as a key issue. However, while there is certainly greater awareness now of the need for individual fisheries managers (in the broader sense of fisheries managers) to possess the skills and knowledge listed in the third pillar/grouping in Figure 2-1 on page 11, so far there has been little actual implementation and delivery of capacity development in these areas. The challenge will be to train managers who recognize the value of different areas of expertise and who possess the necessary professional skills to lead a team towards a management solution. A recent workshop assessed the skills and knowledge required by future fisheries managers and considered that leadership, followed closely by communication, conflict solving, critical thinking and problem solving were the five primary requirements. ( see Figure 4-1 and Box 3). Figure 4-1: Skill requirements for twenty-first century fisheries managers

Source: Jodice, L. et al., 2003. Based on a pre-workshop survey where participants were asked to identify three to five skills essential to the modern fisheries manager

23 Box 3: Training managers for the twenty-first century fisheries initiative

The inaugural Training Managers for twenty-first Century Fisheries international workshop was held December 5-7 2001 in Queenstown, New Zealand and brought together 63 recognized leaders from government, industry, academic and non governmental organization (NGO) leaders from Oceania, North America and Europe. The conference was motivated by the need to build human capital to manage complex twenty-first century fisheries. Participants discussed the challenges for fishery management and defined the training, education, and professional working environments necessary to produce twenty-first century fishery managers who are problem solvers, leaders, and innovators. Participants generated a wide range of ideas from which they formed a collective vision and strategies for improving the education of fishery managers. Potential strategies The workshop discussions were based around six sector work groups who developed recommendations about improving fishery management education. Work is continuing to address these strategies: 1. Develop creative partnerships 2. Use the management process as a leaning experience 3. Broaden and strengthen the fishery management career path 4. Conduct GAP analysis of curriculum needs 5. Development of an international fishery management education and training website 6. Design industry scholarships for fisheries managers 7. Develop a library of fishery management case studies 8. Organize a network of training providers and users Barriers and strategies for overcoming barriers A number of barriers to achieving the above strategies were discussed these were not considered insurmountable provide a committed effort by national and international organizations. Institutional inertia within (e.g., work overload) and between sectors Lack of understanding of importance by stakeholders Financial support Leadership Time and practicality Accessibility (local, global, time) Difficulty in determining appropriate service providers for training Cultural issues and diversity Institutional framework and terms of reference Agreed strategy development plan over the next 12-18 months: Establish an international steering committee. Steering committee meets at IIFET to discuss next steps in implementing actions. Develop initial terms of reference and funding possibilities Develop case study concept Complete website to coordinate activities and act as clearinghouse for programmes Consult with executive IIFET committee to determine interest in supporting efforts Make workshop results available to relevant audience Pursue funding possibilities and ideas within individual countries and through international funders: EU, NATO, World Bank Partners IIFET, FAO, World Bank, NOAA/NMFS NMFS as significant financial sponsor of workshop agreed to review results and recommendation for follow through and support See http://oregonstate.edu/dept/trainfishmngr/report.html

24

4.1.2

Other sectors

Over the past two decades capacity development efforts have had to address an increasingly complexity of issues including embedding gender equality, environmental awareness and other societal skills in development. Like ICAM above, these tend to respond to a number of cross-cutting needs and have therefore required a strong pan-sectoral or even non-sectoral approach, often at odds with previous mainstream HCD methodologies. FAO has been at the forefront of developing these new approaches, initially as a unilateral requirement from co-funders but increasingly at the request of recipient countries. For instance the FAO Socio-economic and Gender Analysis programme (SEAGA) promotes a gender sensitive approach to sustainable development at three levels - macro (programmes and policies), intermediate (institutions) and field (communities, households and individuals), focusing on policy makers, development planners and field workers respectively (see Box 4 below). The SEAGA programme works with a number of FAO divisions but, significantly, not yet fisheries (22).

Box 4: FAO Socio-economic and Gender Analysis Programme (SEAGA)

Aims To increase awareness of and sensitivity towards gender issues, as well as to strengthen the capacity of development specialists to incorporate socio-economic and gender analysis into development planning. Goal To incorporate socio-economic and gender considerations into development projects programmes and policies in order to ensure that all development efforts address the needs and priorities of both men and women. Approach SEAGA emphasizes the socio-cultural, economic, demographic, political, institutional and environmental factors that affect the outcome of development initiatives and the linkages between them from a gender perspective. SEAGA examines the linkages among these factors at three levels macro (programmes and policies), intermediate (institutions) and field (communities, households and individuals). The programme: Has developed a set of handbooks (Field/Intermediate/Macro Level) and guides and it continues to revise and update these publications based on feedback and experiences from its users; develops guides that incorporate socio-economic and gender analysis into a specific sector/technical field; disseminates its publications to development specialists. organizes workshops in "Socio-economic and Gender Analysis" and "Training of Trainers" worldwide; collaborates with other projects and programmes within FAO and with other external development initiatives in providing technical support in socio-economic and gender analysis; establishes a network of development specialists familiar with the SEAGA Programme so they can exchange views and experiences on integrating gender issues into development strategies; release a newsletter that promotes the exchange of information amongst development specialists.

25 Recent developments in forestry, at least within FAO, suggest that the previous provision of capacity development assistance at local level was not as effective as hoped, due to the failure of such efforts to get to grips with the overall political and enabling environment which was hampering development efforts. FAO is thus now beginning to re-concentrate on initiatives at a higher level to effect change in capacity at the sector and enabling environment level (3). At the international level, there has been an initiative to build a solid institutional framework and guidelines for forest-sector-based development under the auspices of the United Nations Forum on Forests, the Intergovernmental Panel on Forest and the Intergovernmental Forum on Forests (IPF/IFF). The IPF/IFF proposals urge countries to include capacity development as an objective of their national forest programmes. Allied to this, are current initiatives to establish the necessary linkages between forest policy, research and education, such as the project Training and Research Capacities for Forestry Policy Development in Countries with Economies in Transition, jointly run by the United Nations University (UNU), the European Forest Institute (EFI) and the SILVA Network (Jansky et al., 2003). Table 4-1 overleaf provides a summary of other current approaches to capacity development researched through personal interviews (listed in Appendix C) and the literature review (summarized in Appendix D.

Table 4-1: Summary of current approaches to human capacity development

Donor / organization Asia-Pacific Economic Cooperation Program Centre for Disease Control and Prevention Conserve Africa Foundation FAO

Delivery mechanisms now favoured E-learning

Focus of HCD efforts Cross-cutting issues based around (i) capacity development, (ii) education and (iii) social protection. Developing interoperability of e-learning systems in Asia Decision-makers and their advisers Training of trainers

Comment on changes / trends Trade liberalization through cooperation Increased mobility of skilled workers

Short-courses developed in partnership with target institutions Internet-based information databases for informed decision-making Internet-based secretariat, providing a partnership list and information database.

Development of Internet-based decisionsupport tools Development of training partnerships

Advocacy programme for capacity development with a focus in nature resource management and conservation

Indo-Pacific Conservation Alliance UN Division for Sustainable Development

Development of materials in Rome with Internet-enabled distance learning facilitated via regional offices Short, interactive workshops with clear problem-solving aims Twinning and attachments for professionals Embedding trainers with NGO partners

Voluntary, non-negotiated partnerships

Internet-based to reduce overheads and proved an e-literate forum Resource and skill base for partnerships. Awareness building and enabling co Focus on indigenous training capacity and management support through distance learning and short, intensive workshops / seminars Integration of natural resource sectors with wider society Centralized development of capacity development tools with regional Building indigenous training capacity through customization and delivery, facilitated by training of trainers internet-enabled distance learning Governance and administration at societal level Building NGO management and administration NGO capacity-building for natural capacities resource management. NGO policy and strategy development Cross-cutting issues e.g. poverty alleviation, Focus on youth empowerment and sustainable development, institutional capacity enhanced decision-making development, gender equality & education Partnership development

26

Donor / Organization United Nations Office for Project Services UNOPS

Delivery mechanisms now favoured Fellowship programmes Study visits, conferences and workshops Repatriation of skilled expatriates

Focus of HCD efforts Provides enabling environment for associated development projects Supports all UN agencies and services Management and administration capacity development for public, private & NGO sectors. Good governance, development, science and technology and environment Professionals, esp. postgraduates Enabling environment systematic reform through basic education Geographic focus on Africa in particular

Comment on changes / trends Partnership between development and capacity-building

United Nations University

Short (1-8 wks) and long-term (1-3 years) courses.

USAID

World Conservation Monitoring Centre Global Environment Facility GEF UNEPs Regional Seas Program World Resources Institute

Partnerships (school - school, university university, university - school, distance education) Policy and democracy networks Access to IT and communication) Community-enabling (via IT access, skills training, mentoring, literacy & education. Partnership-based projects Internet-based information forum

Network of proven specialist institutions. Emphasis on good governance and foundation for effective policy implementation Focus on basic education where the social and economic returns are the greatest, esp. for girls and disadvantaged groups. Providing access and exposure to IT and communications to facilitate distance leaning

27

Biodiversity information management and dissemination Clearing house mechanism International Waters, Biodiversity, Climate Change and Multi-focal areas (i.e. integrated ecosystem management Regional universities

Networking, workshops and information exchange Capacity-building of education, training communication

Awareness-building through formal and Partnerships that increase access to information non-formal education through awareness-building and supporting good governance Develop biodiversity training opportunities Focus on biodiversity research and conservation NGO capacity-building

Aimed at providing relevant information to decision-makers. Enables rapid contribution and access to standardized environmental datasets. Previously based on technology transfer, but increasingly involved in promoting organizational change. Development of an enabling legislative environment Focus on economic and social values Partnership approach Advocating information sharing between government, private sector and civil society

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4.1.3

Training needs assessment and curriculum development

Curriculum development is central to the teaching and learning process, and includes all the planning and guiding of learning by a training or teaching organization, whether it is carried out in groups or individually, inside or outside a classroom, in an institutional setting or in a village or field. (Rogers and Taylor, 1998). The Develop a Curriculum (DACUM) approach, developed by Ohio State University, is an innovative approach aimed at allowing corporate entities to determine the main tasks and accompanying skill requirements for a particular job or cluster of related jobs (see Box 5). It relies upon a short, intensive session, facilitated by a DACUM specialist to identify the tasks competencies involved, followed by a process to determine the specific skills, knowledge and abilities required as such it is similar to the process described by Harte in Section 2.1. Box 5: The Develop a Curriculum (DACUM) approach Outline The DACUM process identifies approximately 8 to 20 duty areas and 50 to 200 competencies that outline what a successful worker in a particular job or cluster of related jobs must be able to do. The occupation profile chart that results from DACUM analysis details the major job functions and the competencies involved in the occupation or job being studied. The DACUM analysis is used to: Create descriptions for new or emerging occupational areas Update existing job descriptions Identify new technology competencies Update existing academic programmes The process: A carefully chosen group of 8 to 12 workers from the relevant occupational area form the DACUM committee. Committee members are recruited directly from business, industry or the professions. The committee works under the guidance of a qualified facilitation team for approximately 2 days. During the instructional development phase that follows the DACUM process, the competencies undergo a task analysis to determine the specific skills, knowledge and abilities the worker needs to perform each task. The information resulting from the task analysis is then incorporated into learning outcome statements, learning activities, instructional materials and detailed assessment criteria.

Experience of applying the DACUM approach to public sector support to fisheries is limited, but has been used in Viet Nam (Saskatchewan Institute of Applied Science and Technology, undated), Gaza9 and Canada. In the latter case the Newfoundland Aquaculture Industry Association (NAIA) conducted a Standardized Occupational Analysis for Aquaculture in order to develop and deliver programmes and courses which meet the human resource development needs of all sectors in the Newfoundland Aquaculture Industry. The project10 involved the following three phases: 1. 2. 3. A one-day workshop to identify all of the occupations required for the aquaculture industry. DACUM exercizes to develop a list of all skill requirements for an aquaculture occupation. Validation of the competencies by industry representatives.

See http://ccpp.accc.ca/english/projects/project_profile.cfm?Region_ID=3&Refr_Numb=732A See http://www.stemnet.nf.ca/DeptEd/HRDA/projects/dec96.htm

10

29

Another new approach, which may include the DACUM process, is that of Participatory Curriculum Development (PCD). The PCD approach aims at developing a curriculum from the interchanges of experience and information between the various stakeholders in an education and training programme. Building on lessons learnt from field-based practice, a critical element of PCD is the identification of stakeholders, who may include educationalists, researchers, policy makers, extension workers, fishers and aquaculturists. Rather than belonging to a small select group of experts, PCD involves a wide range of stakeholders in a meaningful way, drawing upon their experience and insights in a structured approach to curriculum planning, implementation and evaluation (Taylor, 2000). They may help identify needs for training, set aims and learning objectives, contribute to the development of the subject matter to be taught, and participate in delivery and evaluation of the curriculum. The recently completed Fisheries Training and Extension Project (Phase II) project in Bangladesh adopted the SLA approach to assist the Department of Fisheries in increasing aquaculture production by poor farmers. A key activity of the project is supporting and developing Human Resources Management (HRM) and the ability of the Department to plan and manage training (Brown, 2001). This included adoption of systematic TNA methodologies for both staff and beneficiaries. An important TNA tool was the development of a database containing skills, training and career records and information on all Department of Fisheries officers which allowed for a screening of all proposed candidates to ensure that their basic skills, aptitude and career requirements matched training opportunities. In the Asian Pacific region, a regional expert consultation examined the needs for capacity development for aquaculture education (De Silva, Sim and Phillips, 2000). The development of curricula, training materials and other tools to support aquaculture education was considered to require:

Developing databases cataloguing existing curricula and training materials for AE in the AsiaPacific region, with the scope for timely update; Preparation of modules based on existing curricula and training materials for dissemination through a regional Aquaculture Education Program; Translation of relevant materials as appropriate; Improving existing vocational curricula; and Developing separate training streams for extension officers particularly to fulfil the need for training in extension skills as dedicated vocational stream. Such an approach would underpin a special recognition of the need to support more effective extension within aquaculture.

30 Table 4-2: The ten stages in participatory curriculum development (PCD)

Activity description 1. PCD awarenessraising workshop for key stakeholders Aim of activity Identify main reasons for, and purpose of, curriculum development, and key areas for curriculum change. Identify expected constraining and enabling factors inside and outside the institution. Introduce concept of PCD. Carry out initial stakeholder analysis and identify specific potential stakeholders and their likely role in the process. Discuss potential for application in institution. Outline main steps for action. Validate main reasons for, and purpose of, curriculum development and key areas for curriculum change. Discuss expected constraining and enabling factors inside and outside the institution. Introduce concept of PCD; validate list of stakeholders in the PCD process and identify their roles. Discuss potential for application in institution. Identify organizational issues which need to be addressed for curriculum change to go ahead. Develop first version of a monitoring and evaluation system for PCD. Validate and revise main steps for action. Plan and carry out Training Needs Assessment (TNA), consolidate results, obtain feedback on results. Identify range of Knowledge, Skills and Attitudes (KSA) required. Review the existing curriculum based on results of TNA. Development of curriculum aims, main learning objectives, main topics, main content areas. Provide overview of the methods to be used and resources required. Gather and review existing learning materials. Based on curriculum frameworks: develop specific learning objectives, develop/write detailed content, identify and prepare/adapt learning materials, identify learning methods, develop assessment/evaluation instruments. Develop capacity of trainers to plan and apply new, learner-centred teaching methods. Develop capacity of trainers to develop and use learner-centred materials for teaching and learning. Implement new curricula with groups of students/trainees, evaluate and adapt curricula as required. Refine Monitoring & Evaluation (M&E) system to address: stakeholder participation, teacher performance, student performance, impact of training. Review PCD process through M&E system, revise, maintain and support as necessary.

2. Follow-up workshop with wider group of stakeholders (identified in step 1)

3. Training needs assessment 4. Development of curriculum frameworks within the wider fisheries curriculum 5. Develop detailed curricula

6. Learner-centred teaching methods training (ToT) 7. Learning materials development training 8. Testing of new/revised curricula 9. Refine PCD evaluation system

10. Maintain process of PCD

Source: Adapted from Taylor (2001).

31 4.2 Delivery mechanisms

As already hinted at in the preceding text, there are a wide variety of different delivery mechanisms that can be used to assist capacity development, and which have been adopted. These are explored further and summarized in the text below, along with a summary table/schematic with the key attributes of different forms of delivery mechanisms. The Boxes and Figures in this section also provide some interesting examples of current/practical application of different mechanisms. An evolution of delivery mechanisms has been facilitated, which increasingly allows recipients to: use flexible tools to enhance capacity; increase networking and possibilities for information exchange and mutual learning; identify and consequentially solve problems; develop information processing skills, rather than rote learning; learn from real world practical experiences, rather than just based on theoretical learning. Different types of delivery mechanisms can usefully be divided into those that rely on face-to-face contact, and those that can be delivered remotely. While it is certainly true that developments in the internet and electronic communications have given rise to new and exciting forms of delivery mechanisms for capacity development using remote mechanisms, it would be wrong to ignore all other traditional face-to-face mechanisms as outdated and irrelevant. The use of remote mechanisms of capacity development are likely to require greater levels of motivation by recipients to respond to opportunities and to engage in the capacity development process, although may enable better access to greater numbers of people at better value for money. The following text highlights that all delivery mechanisms may have a role to play in particular instances depending on the capacity development requirements, and that the selection of an appropriate mechanism(s) must be carefully based on case-specific needs.

4.2.1

Face to face mechanisms

Classroom-based training/education. This represents perhaps the most one-way delivery mechanism with experts imparting knowledge, information etc to recipients. Programmes may be either long- or short-term e.g. lectures, diploma courses, undergraduate courses, PhDs, and may be delivered incountry or overseas. Criticism has been based on: the over-reliance on such training and the insufficient complementary use of alternative mechanisms; the fact that course content is seldom user-defined; the focus of such courses on (often outdated) technical issues and facts, and not on wider aspects of capacity development as discussed in this paper; removing staff from job functions, especially for long periods of training, can disrupt the functioning of institutions.

However such mechanisms serve an important function. When one considers anecdotally how many senior fisheries managers and stock assessment scientists in developing countries have passed through local or overseas fisheries university courses, and the significance of such courses in assisting with their capacity development, we would argue that their continued use is critical. It would also in our view, be a mistake to focus purely on short-term classroom courses at the expense of long-term initiatives. Many of the other delivery mechanisms discussed in this section are short-term in nature, and there is an important role to play for longer-term training and education for institutional capacity development to provide appropriate numbers of people with undergraduate, masters and PhD qualifications.

32 What is important however is to carefully match the skills and knowledge required in any country for successful management, with the numbers of staff available and their current capabilities. It may be necessary to provide more long-term classroom training with an emphasis on sector and overall societal skills and knowledge listed in Figure 2-1, along with new science and research skills required given recent developments such as an ecosystems approach to fisheries, rather than just the traditional technical science and research skills. It may also be necessary to complement such training with other delivery mechanisms. Of great importance is the need to place strong emphasis on how the training/education is structured and delivered, as well as how participatory course contents are, so that courses are more relevant and useful for the recipients. Recent discussion in the US on reform of natural resource management education (Rassam and Eisler, 2001) has focused strongly on syllabus change, but how courses are taught can also add many of the desired skills and knowledge to fisheries curricula without adding courses (Berkson, 2002). The use of cooperative learning, writing across the curriculum, discussion groups, and other approaches should increase the ability of students to deal with interpersonal interactions, problem solving, and other societal skills (Allison and McBride, 2003). A key lesson appears to be that while training should be flexible and participatory, it must still be carefully planned and not improvised. Box 6: The SUFER project
An ongoing DFID project on Support for University Fisheries Education and Research (SUFER) has been working in Bangladesh to evaluate teaching practice, course content and student capabilities, as well as to develop clear indicators to evaluate teaching quality and student performance. The project is also assisting with off-campus practical training for students to complement classroom-based approaches. Allison (2003) outlines clear progress over the last three years in:

- The development of course and programme outlines that incorporate clear statements of rationale and course aims, content and expected learning outcomes. - The widespread use of locally-relevant examples in teaching - The revitalization of field and practical work, including opportunities for independent work, and for contact between students, aquatic resource users and potential employers in government, NGO and private sector - The incorporation of social science elements of fisheries, aquaculture and environmental management in relevant courses - The widespread use of means of obtaining student feedback on teaching quality - Improved efficiency in the delivery of material by use of overhead projectors, lecture handouts and other teaching aids - Increased use of participatory teaching methods, including seminar and group work - Improved design of field and practical work, and improved provisioning of that work through refurbishment of facilities. - An awareness of the skills required of graduates by their employers through increased contacts between teachers and employers - An increased awareness of poverty relevant technical issues among teachers this seems to have been transmitted to students. - The student-teacher rapport was excellent in all teaching sessions witnessed. There is mutual respect, a lively and interactive classroom atmosphere, with good participation by the often small minority of female students Overall teachers and heads of some departments describe the changes as a positive revolution and the most rapid change in syllabus in 26 years Source: Allison, 2003.

33 Seminars, conferences or workshops. This group of delivery mechanisms are more two-way and participatory than the classroom-based training discussed above. As such they may often be more effective in helping to develop capacity related to attitudinal change, as well as in imparting information. They may also be especially effective in establishing networks and communication between different development actors and practitioners, fishers etc, itself an important factor in capacity development. Sometimes the lack of any immediate impact and the failure of such initiatives to necessarily follow-up with implementation is a cause of criticism in terms of value for money. These mechanisms may be conducted overseas or locally-run, but by definition are usually short-term in nature lasting not more than a couple of days. They are usually supported by academic institutions (in the case of seminars and conferences), NGOs (in the case of workshops) or donors (who support all three forms) Research programmes. The completion of research programmes should and can play a vital role in capacity development. Sector planning and development must be based on good scientific understanding and evidence, which can be provided by such programmes. What is necessary, but what is unfortunately often lacking, is a good linkage between research and management/planning institutions, and between research institutions in developed and developing countries. Also important is to ensure that research is tailored to meeting the development needs of local populations. Allison and McBride (2003) report that in Bangladesh less than 10 percent of published research work by fisheries faculty in five participating universities is concerned with research on issues faced by rural fish farmers. Research programmes are usually long term in nature lasting between 6 months and 3 years, may be lab- or field-based, and usually conducted by academic institutions or state-funded specialist research institutions. There are few, if any, private-sector research institutions in the fishery sector being able to support themselves by selling the results of their research. Research is generally therefore an activity that must be strongly supported by the State or by donors. Exchange programmes. Exchange programmes may involve actual job-swaps, or individuals being provided with an opportunity to observe someone elses activities and job context. Such programmes may be used simply to facilitate information/knowledge exchange, whereby individuals with different capabilities and skills can share these with others. However, they may also be especially effective in enhancing societal skills and knowledge, and in bringing about awareness of different cultural values and attitudinal change. As a result they can be useful for conflict resolution when applied in a practical job-based setting and can assist in increasing understanding and empathy between individuals/institutions previously opposed to each others viewpoints or who may be operating from different perspectives. Examples might include a fishers representative spending time in a fisheries management authority to gain a better understanding of the need for fisheries regulations and controls, with government officials being exposed to a business operation and the commercial pressures of running fishing vessels. They are generally fairly short-term in nature, but may last up to a year or more in the case of swaps of academic posts. Given increasing emphasis on conflict management as an important issue in fisheries, it might be expected that the use of exchange programmes be more widely adopted in the future. Demonstration trials. The principal of this mechanism is usually to get the private sector to adopt changes in behaviour or uptake of new techniques, based on state or donor initiatives demonstrating the success or advantages of such approaches. They are almost always conducted in the field and may be very short-term in nature e.g. a master fishermen demonstrating the advantages of modifying fishing behaviour during the course of a few fishing trips, or longer-term e.g. demonstration of new agricultural cropping patterns and techniques over a growing season. The mechanism is also based on the belief that value-for-money will often be provided (if the initiative is technically and culturally a good one) as once a few people in any area or industry adopt a new and more successful approach, others will shortly follow. On-the-job training. On-the-job training has the advantage that an individual does not have to be removed from his/her work environment, but that training can be provided either to deal with general capacity development requirements, or to assist in solving specific problems that may arise, thus assisting capacity development through practical experience. By definition it is therefore especially relevant to an individuals practical needs, as provided in a real-life work setting, whether field-based

34 or office-based. It usually attempts to develop capacity by providing one short-term input, or a series of more than one short-term inputs spread over a period of time. On-the-job training is generally provided through donors for project-based initiatives or programme efforts with donor staff assisting counterparts, or by NGOs, volunteer programmes, or government extension workers. Such training may be supported/complemented by short-term classroom-based training, but conducted in a practical setting that has relevance to the recipients. Mentoring may be an especially useful form of on-the-job training, as it enables assistance to be provided to deal with specific problems, or just to provide overall advice about career paths. Mentoring as a practice has been used extensively in private sector businesses for some time and may involve one-to-one relationships with an experienced figure guiding and assisting a more junior person, or groups of people mutually supporting each other with advice. They may take the form of a mentor and a mentee within the same organization, or of from different institutions. Such initiatives are generally found to be very productive if carefully structured and planned, and have the strong advantage that they generally just involve the giving of time, rather than the commitment of large financial resources. Mentoring can be delivered face-to-face or remotely.

Box 7: Mentoring
What is mentoring? According to Homer, when the King of Ithaca was leaving to fight in the Trojan War, he asked a good friend to oversee his household, and to look after and counsel his young son Telemachus. When the king returned ten years later, he found his son had become a skilful and perceptive man. The credit, the king concluded, belonged to the relationship his friend had developed with his son, and this started the Greek custom of pairing young males with older men so the younger man could learn from the skills and wisdom of the older man. The friends name was Mentor so the relationship became known as mentoring. Today, mentoring takes many forms and is used for many different reasons. We can see it in the relationship between master and apprentice, or in relationships between groups. Equally, we can see mentoring in the relationship between a successful entrepreneur and his/her protg. Common to all these relationships is: a partnership between two people, where the mentor (who possesses a greater amount of skills, knowledge or experience) works collaboratively with a mentee (who is looking to enhance his or her knowledge, skills and experience) in a mutually beneficial process. While there is, by definition, a certain inequality in the mentoring relationship, there is also a necessary equality. Both the mentor and the mentee bring different but valid perspectives to the process, both gain from the relationship, and both parties are equally accountable for success. Source: Mentoring for Business. http://www.e-mentoring.com/

4.2.2

Remote mechanisms

Budget support. General programme-based support can be provided for sector capacity development through budgetary support, and can be especially effective if institutions face severe budgetary constraints which inhibit capacity development. Provision of finance can at the most basic level enable institutions to function more effectively and to have a greater impact. However, as noted above (UNDP 2003), such a mechanism assumes that there is transparent and accountable government, that checks and balances on government performance are in place, and that the policy of government necessarily reflects the will of the people. The fact that this is not always the case means that such programme-based support is often usefully complemented by specific project-based initiatives. Publications. Capacity can be significantly enhanced when individuals or institutions absorb information and lessons learned from other contexts, and apply such information to their own contexts. Benefiting from the successes and failures of others, without having to repeat their mistakes, can significantly speed up the capacity development process and result in changes in both awareness and attitudes. Publications may be in the form of grey literature, project reports or conference proceedings, or more formal journal publications. Special journal issues on particular topics can be especially useful.

35 Case study information can also be of great benefit, and it is thought likely that both small-scale fishers and consultants have considerable experience that could be written up, or which is lost in consultancy reports. Given the pressure on academics to publish papers, interesting information tends to originate more from this sector, rather than from consultants who are often under pressure to move on to other fee-paying work. Likewise, small-scale fishers are occupied with the business of making money from fishing, and often have little incentive to prepare case study information that could be of great interest. Furthermore, requirements for particular styles/formats required by respectable fisheries journals often preclude small-scale fishers from being able to present case study material (and provide a considerable disincentive for consultants). Nevertheless, it appears a shame that the experiences of such groups are not more widely drawn upon, and more thought could perhaps be given to how it could be. Ideas might include a forum for case studies and subsequent dissemination, prepared in a less formal/polished fashion, perhaps with a simple form with sections covering key areas of interest and lessons learned from the particular case study. This could be Internet-based with the use of categorization / key words to allow searches according to geography, sector, issues etc. Manuals/training material. The use of training manuals, while relatively costly and time-consuming to prepare, then provides a cost effective method of capacity development, as individuals (depending on their current capacity and the level at which the manual is targeted) may be able to use such material with little or no further supervision. Manuals may cover all topics and provide information on specialist technical areas such as HACCP, or more management and process-related advice on how to develop and prepare fisheries sector management plans (see http://www.idrc.ca/cbnrm/documents/ CBNRM_Toolkit/manuals4.htm for an interesting list of selected training manuals on accessing and building on indigenous knowledge for fisheries management). FAO has also recently been developing a manual on participatory planning for improving artisanal fisheries landing sites. It is interesting in that it takes the approach of the new role of a fisheries officer, namely as a facilitator for development processes, rather than someone who just collects data and provides expertise. The ongoing FAO Sustainable Development Department project on conflict management (see Figure 4-2) has already prepared conflict management manuals. These recent activities highlight the importance of the need to update and/or prepare new manuals and training material to reflect current development thinking. The static nature of the material once prepared can easily lead to their use for many years longer than is ideal. Radio. Radio has been used extensively in fisheries and other natural resource sectors as an effective method of extension to impart knowledge and to change attitudes. It is especially useful in terms of access to the poor in developing countries given that most people, even if not wealthy enough to have access to televisions or the internet, usually have access to, and listen to, radio. Local or national radio stations may be used as may specially established community radio stations. Communication strategies have generally moved from top-down to more grass-roots approaches using tools such as PRA. The problem for communication is that it is often left out of budgets and usually used as a crisis management tool, rather than programmed into projects at the outset. Mentoring. Mentoring may be delivered remotely as well as face to face. Discussion on this mechanism is presented above under on-the-job training. As far as we are aware, mentoring in the fisheries sector has not been widely used, but offers considerable potential for capacity development if carefully planned to match appropriate mentors and mentees, perhaps remotely between developed and developing country partners. Distance-based training/education. Capacity development using such means has much in common with the classroom-based training/education described above in terms of courses taken, but also many important differences. In particular, the benefits of distance learning are increasingly being realized in terms of the ability to fit ongoing training and education with job functions and activities. Also, the use of modern communication systems for the delivery of such training (see below) helps to ensure that the content and approach of such education is kept up-to-date and relevant to recipients. Distance training also provides the host institution with the opportunity of expanding its client-base and thereby making itself more sustainable through the generation of greater revenues. Overseas institutions generally provide courses, but distance learning also has application in countries where travel is

36 difficult because of distance, practical or cost implications. However the motivation and supervision of distance-learning students is variable and have a profound influence on the outcome of the training. Information and Communication Technology (ICT). ICT is generally a remote capacity development mechanism, but may also be delivered face to face. It cannot act as a panacea for all development problems, but by dramatically improving communication and the exchange of information, it can create powerful social and economic networks, which in turn provide the basis for major advances in development. By enabling these new networks to collect and share local knowledge and information, ICT can provide new and more efficient methods of production, bring previously unattainable markets within the reach of local producers, improve the delivery of government services, and increase access to basic social goods and services (International Institute for Communication and Development, IICD, 2002). The development of ICT requires development practitioners to think creatively about its uses for capacity development, as well as the practical requirements. For example, a community may have just one PC, but this PC may be able to be used by, and to serve many people in the community. But practical requirements are as important as exciting opportunities. One needs good bandwidth for online web-based distance learning and many small-scale coastal fishing communities wont have it, although they may have access to a PC. This means that the use of CD-ROM-based training may be especially appropriate in such cases see Box 8 for an interesting example of CD-ROM training. It also requires initiatives to involve/encourage those with the ability to use ICT to access those who cant for example, most NGOs are likely to have access to internet-based information, and can then act as a conduit for passing information to those in the field who may not have access. The internet may facilitate distance-based learning (see above), as well as networking and information exchange based on email-contact, list-server mailing/e-bulletins (e.g. fishfolk), search functions and storage of documents/information, and discussion boards. The ability to establish servers with large information storage capacity offers exciting potential. Whilst most institutions have developed an Internet presence, greater potential certainly exists for use of the internet as a training and capacity-building tool. FAO have been one of the more innovative organizations and have developed proven approaches for internet-based distance learning, where a number of generic tools are developed centrally in Rome and then made available to regional offices for adoption to local circumstances. This has proved versatile, cost-effective (22) and allows material to be developed in a number of different languages. FAO also supports distance learning initiatives though short (<2 weeks), locally-based workshops that provide participants with a learning framework and ensures that they are armed with the necessary tools for on-going remotely monitored development. Access to information, decision-support and learning tools through the internet enhances the ability of self-development. The Center for Disease Control and Prevention (CDC) has developed a series of downloadable decision-support tools that are designed to be used and if necessary adapted at local level. Allied with a support network and partnership-based, in-country short courses, this has proved an effective approach that permits regular feed-back from field workers (see Appendix D). Information itself is also important the World Conservation Monitoring Centre has developed an internet-based information forum and biodiversity clearing house mechanism, providing decisionmakers with current information and providing a portal for information exchange.

37

Box 8: The FAO Information Management Resource Kit

The Information Management Resource Kit is a partnership-based e-learning initiative based on internet technologies being developed by the Food and Agriculture Organization of the United Nations and partner agencies and institutions with the goal of strengthening information management and exchange in agencies, institutions and networks world-wide, allowing them to work together more effectively. The Resource Kit is being developed with the common goal of mobilizing and building upon existing resources to create a comprehensive suite of distance learning resources for information management and exchange. Different modules, to be available on CD-ROM and downloadable from the internet, offer a series of lessons on topics such as electronic document management, and introduce basic concepts and describe specific workflows and topics. Lessons are delivered using an interactive, self-paced learning environment. In the Electronic Document Management module for example, the total curriculum consists of 27 lessons, of approximately 30 minutes duration each, grouped into six units, for a total of 13.5 hours of self-paced instruction. Other modules are to include Investing in Information, Building Electronic Communities and Networks, Management of Statistical Data, and Management of Spatial Data. Each lesson achieves a specific set of learning objectives, using interactive step-by-step instruction and exercizes, which help reinforce what is being taught. Each lesson includes a list of relevant resources and additional reading. Learners can consult a glossary specific to the Module, and search within the course materials for specific terms. A series of nonproprietary software applications and methodological guides are also provided. Users can create a tailored course to meet their specific learning needs by developing their own personal learning path (PLP). Lessons can be combined to form a curriculum which covers only the areas and topics in which users have specific interests or need training, often saving significant study time. PLPs can be set up when users begin the course, or at any time during it. The Resource Kit will be supplemented by an Internet-based On-line Community, providing a virtual discussion forum for contributors and learners to exchange views and request help from each other. The On-line Community will provide collaborative workspaces in which to initiate language and/or topic specific discussions, upload and download documents, and to point to other Web resources. Source: FAO WAICENT

In a workshop organized by the Network of Aquaculture Centres in Asia-Pacific (De Silva et al., 2000), the Asian Institute of Technology (AIT) provided a paper on their experience of the use of their Intranet in aquaculture education. This shows that whilst some students (and staff) have problems adapting to an electronic interface, it has provided an important new medium to teaching which has an increasing appeal to new generations of computer-literate and Internet-aware students (see Box 9 overleaf). FAOs Fisheries Department and SIFAR, (Support unit for International Fisheries and Aquatic Research), in cooperation with the African, Caribbean and Pacific (ACP) Secretariat and the European Commission (EC), are undertaking a feasibility study for an initiative aimed at supporting the development of fisheries policy and of fostering improved institutional capacity for fisheries management. The initiative is entitled A programme for Strengthening Fisheries Management in ACP Countries, or ACP Fish II. The indicative core funding for ACP Fish II is 11.5 million. ACP Fish II will be the second phase of an earlier programme on Strengthening of fisheries and biodiversity management in ACP Countries, also known as ACP Fish I. The first phase comprised a four-year project best known for the FishBase database it developed. The ACP Fish II project is exploring the possibility of using the FAO Community Development Server11, to establish an internetbased knowledge exchange system. While in the early stages of project design, the system is expected to be demand driven in structure and content, but to include on a central site/portal, discussion groups, case studies, publications, useful links etc. Importantly, a major challenge is seen as the need to move
11

The Community Development Server (CDS) was originally built under the Information Systems and Technology (AFI) Division of FAO under the auspices of the World Agricultural Information Centre. The CDS software has formed the basis for the development of an increasing number of CDS instances including oneFish, UN Atlas of the Oceans, BioSecurity Portal, and others, perhaps most importantly the FAO homepage/website and intranet website.

38 beyond one-way information and service delivery, towards a two-way or many to many system that facilitates the exchange of information, knowledge and experience. In this regard, it is envisaged that the ACP Fish II programme will need to adopt a neutral yet responsive and facilitatory role, rather than becoming an expert gatekeeper. An important goal will be to create communities of practice around key themes. Box 9: Experience of intranet use in aquaculture education
Potential pedagogical help from the internet and intranet 1. Use of html format to provide student with class notes 2. Provide students with mathematical simulation methods for independent practises of analytical techniques. 3. Simulating the classroom environment by providing lecture notes with audio or video instructions. 4. Internet conferencing: real time delivery. Perceived advantages Academic administration: To use as an electronic library (text/ graphics/ photos/ videos) Instructors are encouraged to prepare written lecture materials Help to audit the curriculum: public auditing or by a selected audience) Can add a bulletin providing students information on materials and processes Students: Lecture notes + slides + video clips readily available to use at any time. Language help for ESL students Outside classroom interaction with instructors. Instructors: Easy to interact with students outside contact hours Easy to update teaching materials. Peer review opportunities

Disadvantages Extremely time consuming (initially) for preparing materials Relatively high cost Copyright issues for using published materials (if wider circulation is desired) Psychological barriers to working with an electronic interface Adapted from De Silva, Sim and Phillips (2000).

SIFAR is itself also creating an open knowledge marketplace on the Net specifically to serve the needs of the global fisheries research and development community. Called the OneFish Community Directory, this open directory portal brings together, under one virtual roof, a broad cross-section of stakeholders interested in raising the profile of research in fisheries and aquatic resources and reinforcing its impact in responsible fisheries, particularly in the field of development. Like SIFAR, Onefish is also funded by contributions from donor groups and organizations with a fundamental interest in improving communications and knowledge sharing in fisheries and aquatic resources research and development. OneFish allows users to contribute information in electronic form to specific subject areas, and to search and retrieve information, files and other linkages across the whole OneFish domain. Institutions and special interest groups are able to use OneFish to develop discussion groups and create virtual offices. Subject-specialist topic editors assist in the administration of specialized topics by editing and adding information submitted to them.

4.2.3

Partnerships and service providers

Whilst many training institutions have developed focus areas of expertise, there is increasing understanding that (i) a large range of skills and knowledge are required and (ii) that the needs of different individuals may range widely, depending upon the level and nature of their job requirements.

39 The response has increasingly been the formation of partnerships that allow a holistic approach to capacity development, supported by a mixture of delivery mechanisms (see below) and different service providers. This has resulted in recognition of the need for more partnerships in academia, in donors, and in the NGO community. The United Nations University (UNU) is a good example (see Appendix D), where a network of proven specialist institutes provide practical and applied postgraduate courses within a wide-ranging framework covering governance, natural sciences and development. FAO too depends on a network gender-analysis mainstreaming is facilitated through over 120 institutions worldwide. The University of Western Cape (www.uwc.ac.za/ics/) provides another practical example and has established a knowledge environment for web-based learning (KEWL), which is an open source learning management system. Involved in establishing distance learning course are the following: DFID Regional Fisheries Information Systems Project (RFIS) International Ocean Institute in Southern Africa, and the Benguela Environment Fisheries Interaction and Training (BENEFIT) programme. For aquaculture in Asia, De Silva, Sim and Phillips (2000), suggest the development of a Regional Collaborative Aquaculture Education Programme, based around the formation of a regional Aquaculture Educational Consortium. This network would engage the leading academic and training institutions in Asia and Oceania to engage in institutional capacity-building and the delivery of aquaculture education through improved collaborative activities and synergies, strengthen the channels of communication, improve human resources and capacity, evaluate aquaculture education needs of the region regularly; maintaining and updating databases of available resources. In summary, a key aspect of the need for more partnerships is that there is a requirement not just for donors to talk more with other donors, for NGOs to talk to each more, etc, although this is certainly important, but equally importantly for capacity to be delivered through partnerships between different groups of service providers e.g. between Government and NGOs, between donors and research institutions etc.

4.2.4

Mixed use of mechanisms

For individuals to manage the process towards capacity development as described in Figure 1-2, it may be especially effective, and indeed necessary, for different types of delivery mechanisms to be used together. For example, the acquisition of knowledge and understanding may be best provided by face-to-face training, academic programmes or the remote use of manuals. This can then be followed up by accompanying field-based activities, workshops, or on-the-job training/mentoring providing skills and knowledge and support to changes in attitude and experiential learning. The use of radio provides another example with radio now being linked innovatively with the internet, for example by stimulating discussion and radio station operators then using a PC and the internet to access web-based material to find and publicize answers to questions posed by listeners which are of special interest to their daily lives. Although not without its critics12, the Training and Visit model for example, is a World Bank approach in which a continuously trained village extension worker regularly visits farmers in their fields this highlights too the importance of training trainers so that capacity developed at one level can be used to enhance capacity at other levels. The box overleaf shows how the UNDP Train-X model is also an approach that incorporates a wide variety of different mechanisms from manuals, face-to-face instruction, networking etc.

12 In resource-poor countries, T&V workers need to be selected carefully to ensure ongoing visit schedules cover a wide range of beneficiaries, esp. those with little social equity (Chris Grose, pers. comm.).

40 Box 10: TRAIN-X

What is the TRAIN-X Network? The TRAIN-X Network is a UNDP sponsored co-operative network of UN Agency Human Resource Development Programmes using the TRAIN-X methodology. The Programme Coordinator in each Agency manages a system for the preparation and sharing of high quality course packages treating specialized fields of importance for national, regional and global development. All TRAIN-X Programmes use a common course development methodology. Together, TRAIN-X programmes help almost 200 national and regional training centres in 62 countries to provide improved training to thousands of people annually. In the current period of financial constraints, purposeful collaboration between UN Agencies, sectors and countries through the TRAINX Network and its programmes represents a viable means for upgrading and developing the UN Systems capacity development effort. TRAIN-X is a generic symbol representing the acronyms of the member programmes. What is the TRAIN-X Approach? The TRAIN-X approach, used by each partner agency for its TRAIN-X programme, has the following major elements: 1. a common training development methodology 2. co-ordinated development of training material to maximize resources and avoid duplication 3. a co-operative network for the exchange of material and instructors among training centres 4. a series of courses and meetings for the training of trainers, including human resources development/training managers, course developers and instructors 5. use of modern training techniques including open learning and computer assisted and multi-media learning 6. use of training information systems for the management of large co-operative networks This TRAIN-X approach has the following distinct advantages: Money is concentrated on building national capacity which is technically and financially sustainable Training packages are developed locally to defined pedagogical standards Training is matched closely to a specific job to provide more effective training in the shortest time Each package is made available to many countries Receiving countries acquire skills and knowledge to make minor adaptations for their own environment Central support concentrates on quality control and training of course developers & trainers Support activity is quickly decentralized to regional centres Source: http://www.undp.org/seed/trainx/overview.htm

An ongoing FAO Sustainable Development Department Livelihood Support Programme on conflict management, largely implemented by FAO forestry and fisheries staff, provides another interesting example of mixed mechanisms. A generic conflict management module has been developed, along with sector specific ones for land tenure, forestry and fisheries. An advisory committee supervises the structure and implementation of an initial 10 day training course/workshop. The length of the workshop is agreed by consensus as being long enough to be useful, but not so long as to became unattractive to participants and the institutions in which they work. Participants then spend 2-3 months in the field in their normal job, but with national mentors visiting them and providing support. During their field time, participants are also required to keep a learning journal. A second 10-day workshop is followed by another 2-3 month period in the field before a final workshop, also of around 10 days. This last workshop generates case study material relevant to the local context based on the learning journals, which can be used for the next round of participants to enter the process. The process can be viewed figuratively as shown overleaf.

41

Figure 4-2: FAO Livelihood support programme

Source: Adapted from Braakman and Lenselink (2003).

1.1.1

Summary of delivery mechanisms

The above discussion can be summarized by way of a table of different delivery mechanisms. The table attempts to categorize the mechanisms based on: The level of capacity development to which they are best suited (e.g. individual = 1, institutional = 2, sectoral = 3, enabling environment = 4 as per Figure 1-1). What aspects of the process of capacity development they are most likely to influence (see Figure 1-2. Awareness of needs = N, acquiring knowledge = K, increasing understanding = U, development of skills = S, changes in attitude = A, putting into practice = P, acquiring experience = E). What skill areas of capacity development they are most suited to e.g. Fisheries Science, Research and Development = R&D, Fisheries Sector Management = SM, or non-fisheries specific societal skills = SS (see Figure 2-1). Where they take place (In-country = IC, overseas = O). Whether they are face-to-face or remote mechanisms (F, R). Who is best placed to provide them (Donor staff = D, Academic institutions = A, research institutions = R, NGOs = N, Government departments = G; RFBs & intergovernmental orgs = F). Some additional notes where appropriate, especially on strengths and weaknesses.

The categorization of different delivery mechanisms shown below is not intended to be hard and fast, and there are likely to be exceptions to the categorization presented. However, we have attempted to characterize the mechanisms based on what we view to be their principal characteristics. Thus specifying that a mechanism is normally best delivered by an NGO, does not mean that in some cases such a mechanism could not be, or perhaps already has been, used effectively with delivery provided by donor project staff.

Table 4-3: Characteristics of different delivery mechanisms

Mechanism Classroom-based training/education courses Seminars, conferences, workshops & expos Research-based capacity development partnerships Exchange programmes / study tours Sustainable partnerships & networks Demonstration trials Level of capacity development influenced 1 Aspects of capacity development influenced K, U, S, A Skill areas All Location O, IC Delivery F Providers A, G, N, F Strengths Focused and interactive Weaknesses Removes capacity from job functions / may be too oneway May have little performance impact unless clear follow-up / path. May be esoteric and un-related to existing capacity Removes capacity from job functions May take time to establish and maintain. Relies on good flow of information so that others see benefits and pick up new practices -

All

N, K, U, S, A

All

O, IC

All

Good for networking

2, 3

R&D

IC

R, A, F

All 2, 3, 4

All All

R&D, SM All

O, IC O, IC

F F, R

All A, F, N, G

Vital to provide information on which policy is based, esp. if applied to problems. Good for attitudinal change and conflict resolution Outreach programmes, shared values and equality. Good for attitudinal change and conflict resolution / seeing is believing / success breeds success Appropriate to needs of job / mentoring may be inexpensive

K, U, S, A, P, E

R&D, SM

IC

D, N, R, A

42

On-the-job training and mentoring KEY

All

All

All

IC

D, N, G, R, F

Level of capacity developed: 1 Individual; 2 Institutional; 3 Sectoral; 4 Enabling environment Aspect of capacity developed: N Awareness of needs; K Acquiring knowledge; U Increasing understanding; S Development of skills; A Changes in attitude; P Putting into practice; E Acquiring experience) Skill areas: R&D Fisheries Science, Research and Development; SM Fisheries Sector Management; SS Non-fisheries specific societal skills Location: IC In-country; O Overseas Delivery: F Face-to-face; R Remote mechanisms Providers: D Donor staff; A Academic institutions; R Research institutions; N NGOs; G Government agencies; F RFBs & intergovernmental orgs

Mechanism Budget / programme support

Level of capacity development influenced All

Aspects of capacity development influenced P, E

Skill areas All

Where conducted IC

Delivery R

Providers D, F

Strengths Programme initiatives may provide better sector / institutional capacity development than projects Wide accessibility e.g. via the internet (i.e. AGORA). Opportunities for joint authorship partnerships. Once prepared, cheaply re-produced and practical in a real-life setting Wide access Allows mixing of education with ongoing job functions Can be cost effective / efficient / wide access / amount of information extensive.

Weaknesses Depends on money being spent accountably and transparently Lack of ability to capture useful information (i.e. local knowledge) from some groups; language barriers. May become outdated

Published and disseminated materials

3, 4

K, U, A

R&D, SM

O, IC

All

Manuals / training material Radio / TV / Video Distance-based training / education

1, 3, 4

K, S, P

SM, SS

IC

D, N, G, F

1, 4 1, 3

N, K, U K, U, S

All R&D, SM

IC IC

R R

D, G, N, F A, G

Information and communication technologies (crosscutting method) Particular role of Information and communication technologies -ICT- as capacity-enabling tools: Participation in networks and the bigger picture

All

All

All

IC

F, R

All

One-way Requires considerable motivation from participants; limited feedback Not all have access i.e. equity implications (the digital divide)

43

All

All

All

IC

F, R

All [focus on IGOs]

Can be cost effective/efficient / wide access / amount of information extensive. Web access increasing rapidly in many DCs; helps link disparate organizations around common issues.

Can be costly to maintain; not all have access to www

Mechanism Vehicle for (e.g.) distance learning and mentoring services Facilitates access to, and exchange of, knowledge

Level of capacity development influenced 1, 2

Aspects of capacity development influenced All

Skill areas All

Where conducted IC

Delivery F, R

Providers

Strengths Overcomes geographic boundaries; rapid feedback; on-the-job action based. Inclusive: fosters exchange of knowledge by remote users

Weaknesses Low availability of courses at present. (works in progress e.g. under ACP Fish II) Few ICT system currently available addressing these issues (works in progress e.g. under ACP Fish II) Few CoP currently exist (works in progress e.g. under ACP Fish II)

All

All

All

IC

F, R

Promotes participation in thematic communities of practice Fosters awareness through access to news and events

1, 2

All

All

IC

F, R

Inclusive: promotes horizontal and vertical integration. Inclusive: facilitates participation in international debate

1, 2

All

All

IC

F, R

44