A Dfid Practice Paper
A DFID practice paper
How to note
JUNE 2010 Table of Contents
CAPACITY BUILDING IN RESEARCH
1. Introduction ……………………………………………………………………………………... 2 Purpose of this note Who is it aimed at? What do we mean by capacity building? 2. What is the conceptual framework underpinning capacity building? ……………...... 4 Capacity Institutional rules and levels Principles of good CB 3. Capacity building process ………………………………………………………………….... 8 Step one: capacity assessment Step two: strategise and plan Step three: implementation Step four: monitoring and evaluation Reporting arrangements for DFID consortia 4. Conclusions ……………………………………………………………………………………. 19 Lessons learned Practical examples Annexes ……………………………………………………………………………………………. 21 1. The research process 2. Resources and reference materials 3. Research programme Consortia: Guidance note on capacity building 4. Criteria for assessment of CB proposals 5. Monitoring and evaluation generic indicators 6. Role of DFID and other donors 7. Examples of good practice
1
1. Introduction
1.1 Purpose of this note The purpose of this How to Note is to provide guidance to DFID staff, Research Programme Consortia and multi–organisational research groups with partners in both the North and South, on the importance of Capacity Building (CB). It sets out a step by step approach on how it might be tackled, explains some tools and concepts that may be useful and includes good practice examples of CB which illustrate the richness and complexity of the process. However: “…..capacity building is a risky, messy business, with unpredictable and unquantifiable outcomes, uncertain methodologies, contested objectives, many unintended consequences, little credit to its champions and long time lags” (Morgan, 1998, p6) This Note aims to shed light on the Capacity Building process in the research context. And to show that despite Morgan‘s concerns progress is possible. 1.2 Who is it aimed at? Improving the capability to do and use research
How to note
JUNE 2010 Table of Contents
CAPACITY BUILDING IN RESEARCH
1. Introduction ……………………………………………………………………………………... 2 Purpose of this note Who is it aimed at? What do we mean by capacity building? 2. What is the conceptual framework underpinning capacity building? ……………...... 4 Capacity Institutional rules and levels Principles of good CB 3. Capacity building process ………………………………………………………………….... 8 Step one: capacity assessment Step two: strategise and plan Step three: implementation Step four: monitoring and evaluation Reporting arrangements for DFID consortia 4. Conclusions ……………………………………………………………………………………. 19 Lessons learned Practical examples Annexes ……………………………………………………………………………………………. 21 1. The research process 2. Resources and reference materials 3. Research programme Consortia: Guidance note on capacity building 4. Criteria for assessment of CB proposals 5. Monitoring and evaluation generic indicators 6. Role of DFID and other donors 7. Examples of good practice
1
1. Introduction
1.1 Purpose of this note The purpose of this How to Note is to provide guidance to DFID staff, Research Programme Consortia and multi–organisational research groups with partners in both the North and South, on the importance of Capacity Building (CB). It sets out a step by step approach on how it might be tackled, explains some tools and concepts that may be useful and includes good practice examples of CB which illustrate the richness and complexity of the process. However: “…..capacity building is a risky, messy business, with unpredictable and unquantifiable outcomes, uncertain methodologies, contested objectives, many unintended consequences, little credit to its champions and long time lags” (Morgan, 1998, p6) This Note aims to shed light on the Capacity Building process in the research context. And to show that despite Morgan‘s concerns progress is possible. 1.2 Who is it aimed at? Improving the capability to do and use research