wWorld Bank Mr?Institute Strengthening Inclusive Ownership Through Capacity Development Operational Lessons from Case Studies Tommaso Balbo Di Vinadio, Priyanka Sinha, and Paramjit Sachdeva World Bank Institute Capacity Development and Results THE WORLD BANK About the World Bank Institute (WBI) WBI seeks to strengthen the capacity of developing countries to reduce poverty. We connect individuals, networks, and institutions to help them find solutions to their development challenges. With a focus on the "how" of reform, we facilitate knowledge exchange, foster innovation, and build coalitions for positive change. To reach more people and to increase our impact, we work with and through global, regional, and country-based institutions as well as global and local networks of development practitioners. About the WBI Capacity Development and Results Practice (WBICR) WBl's Capacity Development and Results practice seeks to increase the effectiveness of capacity development by supporting innovation, learning, and knowledge exchange about approaches that are country-led and focused on results. For more information email capacty4change@worldbank.rg. Strengthening Inclusive Ownership Through Capacity Development Operational Lessons from Case Studies Tommaso Balbo Di Vinadio, Priyanka Sinha, and Paramjit Sachdeva World Bank Institute Capacity Development and Results " THE WORLD BANK _ World Bank IU IMMFInstitute Copyright © August 2012 The World Bank 1818 H Street, N.W. Washington, D.C. 20433, USA All rights reserved This paper was prepared by Tommaso Balbo Di Vinadio, Priyanka Sinha, and Paramjit Sachdeva under the direction of Nicola Smithers (WBI Capacity Development and Results). Denyse Morin (World Bank Operations Policy and Country Services), Graham Teskey (World Bank Poverty Reduction and Economic Management Network Public Sector), Mark Nelson (WBI Regional Coordination and Partnerships) and Jeff Thindwa (WBI Social Accountability) were peer reviewers. Overall guidance was provided by Samuel Otoo (WBI Capacity Development and Results) and Aki Nishio (WBI Operations Department). Comments and contributions were also provided by Alma Kanani, Maher Abu-Taleb and Caroline Millet (World Bank Operations Policy and Country Services Aid Effectiveness), Hnin Hnin Pyne (WBI Regional Coordination and Partnerships), Sima Kanaan (WBI Fragile and Conflict Affected States), Natalia Agapitova (WBIGC), Marieta Fall (WBI Open Government) and Cristina Ling, Sharon Fisher, Violaine Le Rouzic, Joy Behrens, Jenny Gold, Claudio Santibanez and Pinki Chaudhuri (WBI Capacity Development and Results). Comments and guidance were also received from international partners including Talaat Abdel-Malek (DAC Working Party on Aid Effectiveness), Janet Awimbo (LenCD), Philippe Besson (Swiss Government), Nils Boesen (United Nations Development Programme), Eduardo Gonzalez, Silvia Guizzardi and Jim Hradsky (Organisation for Economic Co-operation and Development), Apollinaire Ndorukwigira (Africa Capacity Building Foundation), Paul Reimbault (European Committee) and Thomas Theisohn (LenCD). Case study contributions provided by Natalia Agapitova, Kurt Larsen and Justine White (WBI). George Cheriyan (Consumer Unity & Trust Society International), Daniela Felcman and Edgardo Mosqueira (World Bank), Kourtney Pompi (National Democratic Institute), Karina Temirbulatova and Maury Wray Bridges (Booz Allen Hamilton) and Tommaso Balbo Di Vinadio, Priyanka Sinha, and Paramjit Sachdeva (WBI Capacity Development and Results review team). Design by Sharon Fisher, World Bank Institute Contents Acronyms ......................................... ........ 7 Summary ................................................. 9 Introduction and Concepts ................................... 13 Study Approach ..................................... ...... 17 Case Study Findings .................................. ...... 19 Operational Lessons .................................. ...... 29 Conclusion.......................................... ...... 37 References.................... .......................... 39 Annex: Change Process Diagrams for Case Studies................. 42 Ь Acronyms CBO Community Based Organization CDD Community Driven Development CDRF Capacity Development and Results Framework CEDAW Convention on the Elimination of All Forms of Discrimination Against Women CSO Civil Society Organization CUTS Consumer Unity and Trust Society CVA Citizens Visible Audits ICO Intermediate Capacity Outcome ICT4GOV Information Communication Technology for Governance KDP Kecamatan Development Program, Indonesia KPEP Kosovo Private Enterprise Program LGA Local Government Act MDG Millennium Development Goal PBS Protection of Basic Services RIAL Rapid Innovation Action Learning WBI World Bank Institute 7 8 Summary Ownership of development goals and participation in setting priorities; (4) stake- priorities by local stakeholders is widely holder demand for accountability; and (5) viewed as a critical factor impacting devel- transparency of information provided to opment effectiveness and achievement stakeholders. of the Millennium Development Goals For each case, the study examined how (MDGs). The 2008 Accra Agenda for Action the improvement in one or more of the identifies the concept as one of inclusive dimensions of inclusive ownership was ownership, involving parliaments, local achieved, using the CDRF as the analytic authorities and civil society organiza- lens to assess the results chain and change tions (CSOs), as well as governments. The process, specifically: importance and challenges of building & How the capacity development initia- such broad-based ownership across society tive had developed the capacity of the were a key discussion topic at the Fourth change agents High Level Forum on Aid Effectiveness in 0 Intermediate results (referred to as November 2011 at Busan. This study aims intermediate capacity outcomes or to generate deeper operational knowledge ICOs) achieved that reflect gains in the on what can be done to foster inclusive capacities of change agents ownership; its initial findings were pre- & The change process undertaken by the sented at Busan. change agents to strengthen the inclu- sive ownership dimension(s). Approach The study sought to understand how Findings and Lessons capacity development initiatives contribute By deconstructing the process of to strengthening inclusive ownership, which change, the case studies show different involved a literature review and desk study combinations of capacity development of nine selected cases where that impact activities and ICOs in each case and how could be seen. The study team selected the they empowered the change agents to nine cases based on high levels of inclusive strengthen inclusive ownership dimensions. ownership achieved by stakeholders, to Table 1 summarizes the cases, which are deconstruct the change process in each fully described in a supplementary booklet. case and identify factors that contributed to The case studies identify several factors the change. important to the process of change that The study drew on the World Bank together suggest operational lessons: Institute's (WBI) Capacity Development and Results Framework (CDRF) to identify five Collaborative Capacity for Change operational dimensions that could con- Strengthening cross-stakeholder tribute to inclusive ownership and serve as engagement. An important part of the the basis for examining ownership in each change process in all of the cases was case. The dimensions are: (1) commitment the development of collaborative capac- of social and political leaders to advancing ity between different stakeholder groups the development process; (2) compatibility to enable them to work together. This of social norms and values; (3) stakeholder development involved strengthening 9 the motivation and arrangements for program in a timely way. However, engagement and coordination, and it measuring and recording intermediate included groups such as local govern- outcomes from capacity development ment, CSOs, central government, par- remains uncommon and challenging, liamentarians and media. The improve- suggesting that increased attention to ment in collaborative capacity among tracking these outcomes would contrib- different actors was required in addition ute to effective change management, to increasing the capacities of specific while generating data to support more groups in terms of awareness, knowl- systematic and rigorous learning. edge, skills and internal interaction. Conclusion Investing in Planning This study involves a retrospective * Diagnosis, constraints and opportuni- review of a small sample of cases. From ties. Careful assessment of the institu- these cases it is possible to demonstrate tional environment and consideration of that inclusive ownership, when considered contextual conditions, and opportunities in terms of the operational dimensions offered by existing capacities, contrib- examined in the study, can improve as a uted to identifying capacity develop- result of strategic capacity development ment targets and entry points for inter- efforts. It also shows how using an ana- ventions. lytic lens such as the CDRF, in particular * Results chain and change strategy. for the assessment of intermediate results When a clear results chain and change of capacity development, helps to decon- strategy had laid out the logic of the struct the change process in a given case program at the outset, this supported and suggest some operational lessons. planning of initiatives and targeting of Further learning is warranted on how strategic objectives, as well as the sub- inclusive ownership can be fostered sequent monitoring of results during through the design and delivery of capac- implementation. ity development initiatives. Collaboration among and across global communities Managing the Process concerned with ownership and capacity * Local leadership with supporting role development would enable this work to for external partners. A number of draw on wider development experiences cases highlight how leadership by local and generate deeper knowledge on how stakeholders of the capacity develop- capacity development can support transfor- ment process promoted success, while mative change. external organizations served a support function as facilitators, conveners, or knowledge connectors. External organi- zations proved to be helpful when they facilitated the process without taking the lead or potentially disrupting an ongo- ing local process. * Adaptive implementation and tracking intermediate outcomes. Several cases demonstrate how adaptive implementa- tion of a combination of complementary and mutually reinforcing ICOs support the dynamic and iterative change pro- cess. Further, in a few cases, careful WBI coordinated the study in collaboration with trackingmultiple partners under the umbrella of Cluster A tracking of the achievement of ICOs "Ownership and Accountability" of the OECD-DAC helped change agents to modify the Working Party on Aid Effectiveness. 10 Table 1. Strengthened Ownership and Change Process in the Nine Case Studies Case study Change process and Dimensions of Selected success intermediate capacity outcomes inclusive ownership factors strengthened (1) Burkina * Increased knowledge and skills of women - Participation in e Building on existing Faso: and strengthened CSO coalition led to the setting priorities capacities and Convention on production of the "shadow report" that * Commitment and opportunities the Elimination helped shape government strategy on responsiveness of e Leadership by women of All Forms of CEDAW. political leaders CSOs, with facilitatory Discrimination Increased awareness by government of the external support. Against Women importance of CEDAW, and strengthened (CEDAW) CSO coalition led to the commitment of Shadow Report government to produce reports every four Program years on CEDAW compliance. (2) Colombia: * Increased community awareness of * Demand for * Strong diagnosis and Citizens Visible royalty resources motivated and increased accountability conducive environment Audits (CVAs) confidence to monitor public investments, * Transparency * Local leadership at Program thereby increasing transparency and demand for accountability. This was * Commitment of complemented by new know-how in local leaders o Strengthening dialogue community monitoring. between community and local authorities Increased consensus and coordination between community and local authorities led to increased commitment of leaders in expanding CVA program. (3) Democratic * Increased awareness of benefits o Commitment of o Extensive diagnosis, Republic contributed to local government adopting leaders identified opportunities of Congo: the practice of participatory budgeting. * Participation in in South Kivu province Information and Increased skills and implementation setting budget o Local leadership Communication know-how in use of CT and collaboration priorities strengthened through Technology for Goeraneogy fo among actors facilitated transparency of the process, with external information and involvement of citizens in partner as knowledge (ICT4Gov) participatory budgeting. strengnector *Complementary and reinforcing ICos (4) Ethiopia: *Raised awareness of rights and o Compatibility of o Identifying the change Protection of responsibilities, increased confidence social norms strategy and results chain Basic Services and improved dialogue with service * Demand for o Tracking intermediate (PBS) Program providers empowered citizens to change accountability results and adaptive perceptions and demand accountability management o An enhanced network of CSOs supported * Strengthening the awareness raising of citizens. mechanisms for dialogue (5) India: o Raised awareness and enhanced skills of * Demand for o Building a platform for Consumer how to use community-monitoring tools accountability collaboration Unity and Trust empowered community members to * Commitment of o Diagnosing and tackling Society (CUTS) monitor service providers and demand leaders initial constraints Rajasthan better accountability. Health Reform p Improved communication and cooperation Program between community, service providers and the local government contributed to commitment and responsiveness of leaders. percptios an deand ccoutabiity Table 1. Strengthened Ownership and Change Process in the Nine Case Studies, continued Case study Change process and Dimensions of Selected success intermediate capacity outcomes inclusive ownership factors strengthened (6) Indonesia: Increased understanding of community * Participation in * Diagnosing and Kecamatan members about the KDP project setting priorities tackling initial Development process and local governance, increased 9 Transparency constraints Program (KDP) facilitation skills of KDP change agents, e Tracking and proposal preparation skills of intermediate results community members, together with supported adaptive improved collaboration and coordination implementation across community members, facilitated participation in selecting, implementing, and monitoring development priorities, and greater transparency in project management. Participation was broad-based and inclusive of marginal groups, such as women. (7) Jordan: IRaised awareness of potential benefits * Commitment of Creating opportunities Rapid contributed to the government political leaders for dialogue Innovation commitment to developing and adopting * Participation in * Diagnosis of binding Action Learning a new national innovation strategy. policy setting constraints (RIAL) Program * Strengthened coalitions and networking led to non-state actors participating in innovation policy. (8) Kosovo: A sense of shared purpose was achieved Participation in Creating the national Private with a diverse set of stakeholders by setting priorities consultative forum Enterprise investing in communication and trust e Commitment of * Facilitatory role of Program (KPEP) building, contributing to a change in leaders external partners norms and agreement on sustainable use of forests. * Compatibility of social norms * Strengthened coalitions led to increased commitment from the state to adopt a practice of forestry certification training. * Raised awareness contributed to participation of forest stakeholders in setting priorities. (9) Sierra Leone: o Raised understanding of roles in local * Transparency e Effective engagement Decentralization governance, and effective engagement e Demand for mechanisms Program mechanisms supported an increase in accountability * Mutually reinforcing transparency in use of public resources and enabled citizens to demand * Participation in accountability, transparency and setting priorities * Tracking ICs accountability of local councils. * Increased skills and know-how enabled communities to participate in managing and monitoring investment projects. 12 Introduction and Concepts Background SN, and other organizations that together Ownership of development goals and can be termed "the CD network." priorities by local stakeholders is widely viewed as a critical factor impacting Objective achievement of the Millennium Devel- The study aimed to generate insight opment Goals and other development and learning on how capacity development outcomes. It is a core principle of develop- initiatives can contribute to strengthen- ment effectiveness, as reflected in the 2005 ing inclusive ownership for a development Paris Declaration on Aid Effectiveness. The process. 2008 Accra Agenda for Action goes further The study was not designed to establish to identify the principle as being concerned causality among various factors.2 Rather, it with inclusive ownership, involving parlia- examined a small number of cases where ments, local authorities and CSOs as well inclusive ownership had been strength- as governments. The importance and ened, and in each sought to understand challenges of building such broad-based the change process, how capacity develop- ownership across society were a key discus- ment empowered stakeholders and the sion topic at the Fourth High Level Forum factors that influenced the process. From on Aid Effectiveness in November 2011 these cases, it sought to identify opera- at Busan. This study was undertaken to tional lessons for the design and delivery contribute to that discussion by generating of capacity development programs for deeper operational knowledge on what can strengthening inclusive ownership. be done to foster inclusive ownership in practice. The initial findings were presented Key Concepts at Busan. The study is a collaborative effort of Inclusive Ownership multiple partners under the umbrella of Country ownership has become a widely Cluster A "Ownership and Accountability" held principle of development assistance in of the OECD-DAC Working Party on Aid recent years. Strengthening country owner- Effectiveness. WBI undertook the study ship is central to the 2005 Paris Declaration in 2011-2012, with guidance from the on Aid Effectiveness, and to the World Operational Policy and Country Services, Bank's approach to development engage- Sustainable Development Network, and ment. The emphasis on inclusive ownership Poverty Reduction and Economic Manage- focuses attention on the need for engag- ment Network within the World Bank; and ing with actors across society, not just in collaboration with the African Capacity government representatives and agencies. Building Foundation, CD Alliance, LenCD Relevant stakeholders include a variety of (Learning Network on Capacity Devel- non-state actors seeking to participate in opment), United Nations Development shaping and benefiting from a develop- Program, OECD DCD, Rwanda Public Sec- ment goal or agenda at the national or tor Capacity Building Secretariat, AusAid, local level. European Commission, UK Department for The importance of inclusive ownership International Development, Netherlands is now well recognized in the literature 13 Box 1. Evolution of the Concept of Ownership Ownership as commitment of national leaders: In international cooperation, "commitment" is often perceived as an adequate measure of ownership. "The terms ownership, motivation and commitment are indeed often used interchangeably" (Lopez and Theisohn 2003, p. 60). Ownership as the degree of control of governments: Ownership is "the degree of control recipient governments are able to secure over policy design and implementation" (De Renzio 2008, p. 1). A Swedish International Development Agency study refers to ownership as "the exercise of control and command over development activities. A country or an organization within a country can be said to "own" its development programme when it is committed to it and able to translate its commitment into effective action" (Edgren 2003, p. 4). The Asian Development Bank notes that "strong ownership by the government" is one of the key factors "that improve the chances of project success" (ADB 2007). Ownership as the government's control over resources: "National ownership means that a country needs to decide for itself the difficult questions of how to allocate scarce resources-choosing, for instance, whether girls' education should be a bigger budget priority than clean water" (Mark Malloch Brown, in Lopes and Theisohn, 2003, p. 8) Ownership as government decision-making: "National ownership means that a country needs to decide for itself the difficult questions of how to allocate scarce resources-choosing, for instance, whether girls' education should be a bigger budget priority than clean water" (Malloch Brown, in Lopes and Theisohn, 2003, p. 8), and is "about the ability to make informed choices and decisions" (UNDP 2009). Ownership as inclusive participation of all actors at the national level: "From Accra onwards, coun-try ownership is to be inclusive. The AAA carries on implic-itly defining ownership as the one major actor; how-ever it also spells out the need for an integration of all stakeholders into the formulation process of the development agenda. This is an important shift in paradigm that puts citizenship - the rights and duties it implies - at the core of the concept of country ownership" (Besson 2009, p. 36). This was highlighted in August 2010 by a representative of the Swedish Foreign Ministry when he addressed six hundred delegates at the CIVICUS World Assembly: "One of the problems that we face is that we tend to talk to our equals and to focus on the executive branch but not where the real ownership should be, with parliament and civil society" (Hauck and Land 2011, p. 9). "The concept of democratic ownership is understood as embracing a view of state-society relationships founded on the participation of all actors in policymaking, development planning, implementation and review (Hauck and Land 2011, p. 2). "Ownership involves a process whereby the government and civil society ideally define the priorities for national development in a mutual and interactive way" (Hauck and Land 2011, p. 3). (Smithers 2011). Several major cross-country to ensure that development programs fit studies provide evidence supporting the the country circumstances and generate development community's consensus that the engagement and support needed to such ownership is critical to the success sustain program activities after external of development programs. These stud- assistance has ended. ies include the World Bank's Independent However, even though inclusive owner- Evaluation Group evaluation of Public ship has become a basic requirement of Sector Reform (World Bank 2008), the effective development assistance, it has multi-country study, Capacity, Change and often meant different things to different Performance (Baser and Morgan 2008) and people. "We are now in a phase of talk- the Asian Development Bank's 2007 Annual ing about ownership, even if understand- Evaluation Review. ing varies widely on the meaning of this Since deviation from the status quo word" (Lopez and Theisohn 2003, p. 2). inevitably involves losers as well as winners, In some documents examined during the efforts to achieve inclusive ownership helps literature review, the concepts of commit- overcome resistance to change and aligns ment of government, country leadership interests in support of the development and ownership are used interchangeably. program. Inclusive ownership is more likely Furthermore, the concept of ownership has 14 evolved over time and is defined differently (3) Stakeholder participation in setting depending on the emphasis given to differ- priorities ent aspects (Box 1). Priority-setting processes related to the The literature review shows the desir- development goal include opportunities ability of defining ownership as inclusive of for all stakeholders to express opinions actors across society and not referring only freely and without fear of repression, and to government commitment. This broader these opportunities are communicated with conceptualization and understanding of adequate time for stakeholder engagement ownership informs the study. WBI's Capac- and response. Stakeholders participate ity Development and Results Framework through these established mechanisms, (CDRF)3 defines inclusive ownership as: "[It] and government and other public service comprises formal and informal political, eco- entities are responsive to the expressed nomic and social forces that determine the views of civil society and other relevant priority that government, civil society and parties. the private sector give to a development (4) Stakeholder demand for goal" (WBI 2010, p. 2). accountability Inclusive ownership is therefore con- Stakeholders know their rights related to cerned with the demand side of develop- the development goal, claim those rights, ment, involving the priority and support and communicate their grievances and a society (including government leaders, proposals for change to the government public officials, legislators, civil society and legislature. If public officials and other actors, private sector, service users and public service providers fail to meet expec- providers, academia and citizens) gives to tations about the achievement of the goal a development goal as a consequence of or are using allocated resources for unin- various forces. The political, economic and tended purposes, stakeholders freely hold social forces are mediated though formal them accountable for their conduct and and informal institutions, often referred to as performance. Stakeholders organize and the "rules of the game" that shape incen- collectively appeal unfavorable decisions tives for society's actors. concerning the goal. Stakeholders demand The CDRF identifies five operational and use instruments of accountability that dimensions, reflecting institutions that con- are available to the public, such as govern- tribute to inclusive ownership: ment scorecard information. (1) Commitment of social and political (5) Transparency of information to leaders stakeholders Social and political leaders consistently Government and other public service and regularly support the development goal entities provide accurate, relevant, verifi- through public statements, decisions, votes, able and timely information about the and other actions demonstrating their com- development goal to all stakeholders. mitment and accountability for achievement They also explain actions concerning the of the goal. Leaders demonstrate sound goal in terms that stakeholders can use to ethics and integrity related to the goal, faith- participate in setting priorities, monitoring fully honoring their pledges of support and progress, and evaluating actions of public not engaging in activities or missions that officials responsible for the goal. Any infor- would undermine progress toward the goal. mation influencing decisions related to the (2) Compatibility of social norms and goal is fully disclosed to stakeholders. values The extent to which the development Capacity Development goal is supported or undermined by the pre- The literature review also shows how the vailing social norms, values and beliefs, and development community's understanding related informal institutions such as family, of capacity development has evolved over kinship and traditional authorities, time, in line with aonors'thinking about 15 Box 2. Six Intermediate Capacity Outcomes Raised awareness: Increased disposition to act, through, for example, improved understanding, attitude, confidence, or motivation. Enhanced knowledge or skills: Increased ability to act, through acquisition of new knowledge or skills, or application of new knowledge or skills. Strengthened coalitions: Strengthened disposition or ability to act through collaboration between individuals or groups with diverse objectives to advance a common agenda. This may involve, for example, stronger agreement on a common agenda for action, increased commitment to act, improved trust among members, or improved ability of the coalition members to leverage their diverse strengths. Improved consensus and teamwork: Strengthened disposition or ability to act through improved collaboration within a group of people tied by a common task. This may involve, for example, a stronger agreement or improved communication, coordination, cohesion, or contributions by the team members to the common task. Enhanced networks: Strengthened disposition or ability to act through improved collaboration between individuals or groups with a common interest but not a formal common agenda for action. This may involve, for example, improved processes for collaboration, stronger incentives for participation in the network, or increased traffic or communication among network members. New implementation know-how: Strengthened disposition or ability to act, arising from formulation or implementation of policies, strategies, or plans. This may involve, for example, discovery and innovation associated with learning by doing. development. In the past, capacity devel- the self-empowerment of societal actors opment was understood as what outsiders through learning, knowledge, information, could do to build the capacity of others, innovation and collaboration supported such as training or technical assistance. a process of change that contributed to Today, however, capacity development is increased inclusive ownership for a devel- understood to be an endogenous4 and opment goal. long-term process for which in-country The CDRF identifies ICOs as direct partners are responsible (International results from capacity development activi- Dialogue on Peacebuilding and Statebuild- ties. ICOs reflect increased capacities of ing 2011), and concerned with impacting change agents-in terms of their abilities, achievement of development outcomes disposition and behaviors-that empower through strengthening capacity of institu- them to advance a process of change. Box tions, organizations and people. 2 summarizes the definitions and attributes Although different approaches to of the ICOs examined in the case studies. capacity development exist, there is broad agreement on the principles to be applied, reflected in the March 2011 Cairo Consensus on Capacity Development. The 2 It was also not designed to delve deeply into the different ownership dimensions, or any particular type consensus emphasizes the importance of intervention, or to examine such important issues as of capacity development being country- the possible sustainability of development results after led, results-focused and central to the project closeout. development process. Furthermore, it For details of the CDRF and discussion of stake- cannotholder ownership, see Otoo, Agapitova and Behrens cannt b imortd an mut tke nto(2009); as well as Smithers (May 2011), and di Vinadio account the local context. (draft literature review, November 2011, mimeo). The study adopts this view of capacity I For instance, Walters (2007) argues that official development, focusing on how the dimen- agencies (UNDP 2006, DAC 2006), academic writers sions of inclusive ownership were strength- (Morgan 2006, Fowler 2006) and international NGOs and local practitioners (James and Wrigley 2006) all ened in the nine case studies. It uses the agree on certain aspects of capacity building, such as CDRF as the analytic lens to examine how the latter being an endogenous process. 16 Study Approach The study consists of two stages: 0 How increased skills of local councilors (1) A literature review of the importance in budget oversight empowered them and implications of inclusive ownership and to demand accountability in programs of capacity development. aimed at reducing rural poverty. (2) A review of nine case studies in 0 How providing information to parents which inclusive ownership was enhanced on the educational outcomes of their through capacity development in different chidren motivated them to put pressure contexts. on service providers for better quality in The methodology used a combination education. of open discovery and selection of exam- How improved community skills to ples of enhancement of inclusive ownership monitor local-level service providers through capacity development. The litera- enhanced transparency, accountability ture review aimed to explore the current and delivery of health services in remote literature on ownership and capacity devel- areas. opment, as well as to identify examples How strengthened coalitions of fostering inclusive ownership through contributed to effective participatory capacity development. The literature review budgeting. also facilitated conceptual ization of the study, as outlined in the previous section. The study used the five operational It helped to define inclusive ownership and dimensions that contribute to inclusive capacity development more clearly and ownership identified in the CDRF as the gain a better understanding of the change basis for examining ownership in each case. processes involved in strengthening owner- Using the CDRF as the analytic lens, the ship and measuring their ICOs. case studies examined how capacity devel- In July 2011, the study team issued a call opment activities (leading to, for example, for case stories to identify cases with evi- behavioral changes, strengthened coali- dence that capacity development initiatives tions or experiential learning) empowered have contributed to strengthening inclusive agents of change (both state and non-state stakeholder ownership in a development actors) to strengthen the dimensions of process. Of the 27 responses received from inclusive ownership. Particular attention was partners and World Bank staff, nine cases given to the complex change processes offered enough research- or evaluation- that had led to strengthening inclusive based information to shed light on the ownership and to intermediate outcomes inquiry and were selected for preparation from capacity development initiatives that of case studies by case contributors and enabled the change process. the study team. Drawing on the secondary data avail- The case studies examined how knowl- able, each case study sought to document edge, information, learning and coalition what was done, why, how, by whom, and building, etc., can advance a change strat- with what effect, by examining, to the egy that enhances one or more dimensions extent possible, the following: of inclusive ownership. For instance: *Socio-political context and the owner- ship constraints addressed 17 Figure 1. CDRF Results Chain Related to Inclusive Ownership Contribution to Development Results Overall results and impact to which the capacity development process contributed (such as improved service delivery) Strengthened Inclusive Ownership One or more dimensions of inclusive ownership strengthened (such as increased participation of citizens in setting budget priorities) Change Process Actions taken by empowered change agents (such as CSOs' work with local authorities to create participatory budgeting mechanism) Intermediate Capacity Outcomes Increased capacities of change agents in terms of ability or disposition that empower them to take action (such as enhanced skills of citizens and CSOs to engage on budget process) Deliberate actions to facilitate the process of capacity development (such as awareness raising campaigns, training, learning by doing) * Activities planned and undertaken study's innovation is the identification of * Intermediate results obtained, that is, ICCs as a way of looking into the "missing the empowerment of agents of change middle" between activities and outputs on that resulted from implementation of one hand and higher-level outcomes on capacity development activities the other, and gaining insight into how the * Change process, that is, how empow- change occurred. ered change agents brought about the improvement in inclusive ownership * Enhancement of inclusive ownership achieved * Monitoring and assessment process used, that is, how progress and interme- diate results were tracked " Development results achieved To link these elements and examine the change process in the case studies, the study sought to establish the results chain in each case (Figure 1). The results chain identifies milestones in the change process that help to illuminate that process. The 18 Case Study Findings Inclusive ownership was strengthened Nine Case Studies in the nine cases examined for this study. The results chain and change process Unbundling ownership into the five dimen- for each case are assessed and summarized sions discussed in Chapter 1 enabled own- in diagrams in Annex 1. The cases are fully ership to be examined in practical terms. described in the supplementary booklet to The case studies show that inclusive owner- this report. ship dimensions were targeted for change through deliberate capacity development (1) Burkina Faso: Convention on activities. the Elimination of All Forms of Each case was assessed in terms of the Discrimination Against Women inclusive ownership dimensions strength- (CEDAW) Shadow Report Program ened, ICOs that empowered the process of The National Democratic Institute's change and activities undertaken to achieve (NDI) Burkina Faso Shadow Report initia- the ICOs (Figure 2). The results achieved tive aims to support a coalition of Burkina and change process in the cases generally CSOs to write and submit a Shadow Report took place within the context of a broader on the government's implementation of program or project. CEDAW. By deconstructing the process of Ownership dimensions strengthened: change in this way, the case studies show Stakeholder participation in setting the different combinations of capacity priorities; Commitment and responsive- development activities and ICOs that ness of political leaders empowered the change agents to take ICOs achieved: Enhanced knowledge action to improve one or more dimensions and skills of women; Raised aware- of inclusive ownership in each case. In most ness about CEDAW and compliance; of the cases, the results chain connecting Strengthened coalition of CSOs activities to intermediate outcomes and improvements in ownership dimensions In the case of the Burkina Faso Shadow appear reasonably strong. Report program, activities supported by *The ru chain and cag process intermediate d r iA xT cer described ihnge thesupleenaryboklent Incresed cpacitthi s ort. (1) Burkina Fas:gonenioso thLlmnto fAIFrso Discimintio Aganst ome NDI increased the knowledge and skills raised awareness among the population of women and empowered a coalition of about the possibility of getting involved CSOs to develop a shadow report detail- in the monitoring of public resources and ing discrimination against women and the improving their quality of life. As a result government's compliance of the interna- of presentations and discussions carried tional CEDAW. The shadow report and out in public hearings, citizens have a outreach by coalition members raised the better understanding of royalty resources awareness of members of Parliament and and their role in holding their government government, including staff of the Ministry accountable for use of public funds. The of the Advancement of Women, regarding adoption by the community of a meth- the importance of CEDAW and compliance odology for monitoring investment works with its obligations as a signatory to the generated confidence and implementation UN Convention, contributing to increased know-how to engage in the process. political commitment. Thus, the coalition Furthermore, the program has also helped shape national strategy on CEDAW. opened a space for strengthening collabo- The commitment by MPs was evident in ration within the community and improving their extending an invitation to the CSOs to communication between members of the attend the regional African Inter-Parliamen- community and local authorities, increasing tary Union meeting to discuss legislative commitment to the program. Community action concerning violence against women, members and local authorities reach agree- and in the government's commitment to ments on the implementation of projects submit national reports every four years on and follow up through progress reports, its CEDAW compliance (Pompi 2011). thereby creating improved transparency, demand for accountability by citizens and commitment of local governments for (2) Colombia: Citizens Visible improved use of royalty funds. Audits (CVA) Program The CVA program was expanded to The Colombian Anticorruption Presiden- 158 CVAs in 29 communities in 2008-09, tial Commission launched CVAs to promote with public works funded by approximately transparency of royalty funds and citizen US$348 million of royalty funds monitored participation in the management of public by communities As a result of the initia- investments. tive, communities have started asking for Dimension strengthened: greater public accountability, for example Citizen demand for accountability; by showing their concern for the way royal- Transparency on public projects; Com- ties' resources are allocated, and insisting mitment of local leaders that these funds are invested in priority ICOs achieved: areas. (Felcman and Mosqueira 2011). Raised awareness and understanding of citizens regarding royalty resources; New implementation know-how and (3) Democratic Republic of Congo: confidence in community monitor- Information and Communication ing to hold government accountable; Technology for Governance Improved collaboration and communi- (ICT4Gov) Program cation between community and local The government launched ICT4Gov in authorities 2009 in South Kivu province to facilitate decentralization by empowering stakehold- The CVA program in Colombia illus- ers to participate in participatory budgeting trates empowered communities and through the use of CT. strengthened demand for accountability Ownership dimensions strengthened: regarding the use of royalties managed Commitment of government leaders by sub-national governments. CVAs have to participatory budgeting; Citizen 20 participation in setting budget priorities. A citizen of Bagira, South Kivu priorities; Transparency in budgeting said: "What I like the most about participa- ICOs achieved: tory budgeting is the participation ... and Raised awareness of the benefits of the transparency. Before, I did not know how participatory budgeting; Increased much money our city made. Now I know knowledge and skills of CSOs, com- how much we have collected in tax, how munities and local governments; much we have spent. And we have a say in Enhanced coordination and collabora- how this money is spent" (Weber 2011). tion among actors Interim results show that budgets are more closely aligned with resources In the ICT4Gov case, agents of change mobilized (rather than "wishful think- in communities, CSOs and local govern- ing" budgets), and, for the first time, local ments in the province of South Kivu were governments have started reserving parts empowered to bring about participatory of their budgets for investment spending budget decision-making and to increase prioritized by citizens, rather than allocat- transparency regarding use of resources. ing funds exclusively to salaries and equip- A series of activities included multi- ment. Development results achieved include stakeholder dialogues, awareness-raising the repair of 54 classrooms and repair of a workshops, training and adoption of ICT bridge and a road in Luhindja. Participatory mobile phone technologies. These led budgeting has also increased trust among to increased ability of CSOs to train and actors, causing provincial government to mobilize citizens, strengthened the ability transfer funds to local governments, and citi- and motivation of citizens and local govern- zens to increase taxes paid to local govern- ments to engage in participatory budget- ments. (Weber 2011; Balbo di Vinadio 2011). ing and to use ICT to do so, and strength- ened dialogue and coordination between local governments and citizens. For (4) Ethiopia: Protection of Basic example, local governments strengthened Services (PBS) Program their capacity to use ICT as a mechanism Ethiopia introduced PBS in 2006 to help for making information easily accessible by ensure poor peoples' continued access to citizens, and empowering them to get their basic services and to sustain the momen- messages across. tum toward meeting the country's immense Mobile phones facilitated the process MDG challenges. One component of PBS is of participatory budgeting. They mobilized a series of social accountability interventions citizens to engage in such budgeting and to make basic service delivery more effec- reduced the transaction costs associated tive, efficient, responsive and accountable. with their participation. Text messages Ownership dimensions strengthened: invited, mobilized and sensitized the Changes in social norms regarding the population to participatory budgeting. accountability relationship between Moreover, text messaging simplified the service providers and citizens; Citizen voting process, since each district voted for demand for accountability regarding its own priorities (previously listed during services and responsiveness of service district-level meetings) and informed the providers. public of the final decision. ICOs achieved: Through participatory budgeting, Raised awareness regarding social citizens in the Congo for the first time accountability; Enhanced knowledge knew about their city budget and money and skills of citizens and service allocations. They decide where the public providers; Improved dialogue and money should go and what to do with it, collaboration between citizens and and their decision is final. In this way, they service providers; Enhanced networking now "own" the process of defining their among CSOs 21 The PBS program in Ethiopia ilustrates (5) India: CUTS (Consumer Unity how women were empowered to influence and Trust Society) Rajasthan Health existing social norms that in turn enhanced Reform Program their demand for accountability. At pro- The National Rural Health Mission aims gram start-up, constraints that hindered the to provide health services to the poor- women's participation in demanding better est households in the remotest regions in services included the local culture and India. To ensure community monitoring of social traditions. For instance, women were services, the mission included civic engage- shy and afraid to participate in meetings ment in the implementation process. How- when sitting with men. Hence the program's ever, absenteeism of health workers was change process relied on activities to build becoming more problematic as was weak the confidence and knowledge of women. ownership between community members, Subsequent program evaluations of PBS service providers and local leaders. showed that the confidence of women and Ownership dimensions strengthened: their participation in the activities notice- Stakeholder demand for accountability; ably increased in the pilot projects. Commitment and responsiveness of For example, a woman in Haramaya leaders who had participated in the program said ICOs achieved: she is no longer afraid of the government Raised awareness of citizens and local when it comes to defending her rights to leaders; Enhanced monitoring skills of be treated equally and when she requests citizens and CBOs; Improved communi- better services. She says she no longer sees cation and cooperation between com- public servants as masters, and citizens munities and local governments as servants, and because of her ability to speak out, she and her friends say they are The case study of the CUTS Rajast- now receiving better services (Taddesse et han Health Reform program illustrates a , 2010). how capacity development strengthened In addition, the program supported demand for accountability and responsive- regional networking among CSOs through ness of government leaders. The program organization of meetings and workshops built the capacity of citizens to monitor the in the regions. It also increased the knowl- performance of health service providers in edge and skills of CSOs to work on the the state of Rajasthan. Several community- projects' web portal and discussion forum based organizations (CBOs) were trained by exchanging experiences on challenges in community monitoring tools and Citizen and lessons learned. For instance, a three- Report Cards to address problems at pri- day induction workshop on the principles mary health care centers. According to the and benefits of social accountability in project team, the capacity development Ethiopia led to networking among stake- effort for the communities and CBOs to use holders of various social accountability ini- these tools was an empowering phenom- tiatives. This was essential for strengthening enon. the capacity of local CSOs to implement In addition, community meetings and the social accountability initiative and train interface meetings were held with repre- citizens to demand more accountability sentatives of Panchayati Raj institutions (Balbo di Vinadio, 2011). (local government bodies). Both the com- Box 3 details the PBS process of change. munity and service providers were brought to a common platform, where empowered and informed community members sought accountability through raising questions about poor service delivery. Increased responsiveness was demonstrated through service providers providing explanations 22 Box 3. Process of Change for the Ethiopia PBS Program Ethiopia implemented the capacity development component of PBS as a social accountability initiative in several villages (woredas) in Ethiopia. The project aimed of to improve service delivery at the local level by strengthening the accountability relationship between service providers and citizens through capacity development. Evaluation documents show that the comprehensive package of activities aimed at enhancing skills, raising awareness, chang- ing attitudes and building consensus was highly effective at strengthening demand for accountability in the pilot projects (Balbo di Vinadio 2011). PBS activities for strengthening inclusive ownership and building capacity had a strong impact on key stakeholders by bringing about a change in the ability and motivation of citizens to hold service providers accountable; and by improving the ability and motivation of service providers to respond to citizens' demands. Specifically: * CSOs gave information to citizens on budget and service delivery, and they understood how to use this information. Citizens were also better informed about their rights and responsibilities. They were therefore better motivated and able to act to hold service providers accountable. As a result, citizen mobilization and engagement increased. * Service providers were better informed of the accountability relationship with citizens. The initiative also enhanced their ability to respond to citizens' demand and meet regularly with them. Service providers were more able and willing to critically review and meet with citizens and agree with them on reform agendas and action plans to improve service delivery. More broadly, capacity development activities enhanced citizens' voice on public service delivery. Citizens were provided with information on budget processes and on tools they could use to hold service providers accountable; and they enhanced their ability to assess the state of public service delivery in their respective localities and provide feedback to service providers. Service providers, on the other hand, were capacitated to assess their own services using indicators developed by users. Many of them, for instance, committed to revisiting their planning practices to ensure timely participation of communities during need identification, prioritization and program implementation. Various evaluations of PBS noted the most striking achievement of the capacity development activities was the increased understanding of the concept and purpose of social accountability that had occurred in the pilot woredas among government officials, communities and the CSOs. This does not only mean that citizens and other stake- holders understood what kind of social accountability tools were at their disposal and how to use them, but above all that they increased their awareness of their own rights and responsibilities. If at the beginning of the initiative citizens hesitated to criticize poor service delivery, the deep-rooted "community mindset" of what one external partner referred to as "too much respect" for public service providers was eventually overcome. For achieving this outcome, concerted efforts toward awareness creation, sensitization and capacity development were essential to bring about attitudinal change, which was essential for stakeholders to initiate actions. The citizens interviewed in one evaluation exercise said that they had learned a lot about social accountability. Furthermore, over 84 percent of survey respondents in pilot areas indicated that they had been oriented to and made aware of their rights, responsibilities and entitlements to basic services (Taddesse et al 2010, p. 3). The team that conducted the independent evaluation of the social accountability projects in 2011 met many users who stated that "the delivery as well as the improvement of basic public services is not the sole responsibility of the government but is a shared responsibility of citizens and the state" (Taddesse et al 2010, p. 33). In a local context where trust did not seem to exist between citizens and service providers, open and constructive dialogue was essential for facilitating attitudinal change. Interface meetings served as breakthrough platforms that for the first time provided a forum for constructive dialogue between citizens and service providers. An indepen- dent evaluation conducted in 2011 found 98 percent of female and 95 percent of male respondents indicated enough openness amongst the service providers in all four sectors on citizens' suggestions, feedback and plan- ning inputs (Taddesse et al 2010, p. 35). In Shinelle (Somali district) the health post staff said: "For the first time we learned about the needs, priorities and preferences of citizens and what we have been doing wrong. All along we had assumed we were doing our jobs and providing good service with the resources given to us" (Taddesse et al 2010, p. 35). The project also had a strong impact on service providers' understanding of social accountability. For instance, of- ficials in Dire Dawa city administration and Kombolcha woreda of Oromiya district said: "Earlier we thought we were just accountable to our supervisors. As a result of the ESAP initiatives and the GOE reform packages layered on each other, now we know accountability is a two-way street, between service providers and users, i.e., officials and citizens, and also between us and our subordinates within the system" (Taddesse et al 2010, p. 35). 23 and reporting progress, and state govern- The involvement of multiple actors in ment taking action to tackle absenteeism the preparation, selection and implementa- and increase transparency of pharmaceuti- tion of project proposals has contributed cal distribution. These interface meetings to improved communication, coordination resulted in the community and representa- and cohesion among community members tives of local government coming forward and with government. Technical and social to jointly solve various problems related to facilitators contributed to strengthening health services (Cheriyan 2011). social capital, and enabled villagers to come together to identify priorities, problems and solutions, and to elaborate action plans. (6) Indonesia: Kecamatan Qualitative assessments and survey feed- Development Program (KDP) back provide evidence of empowered com- KDP provides block grants to keca- munity members' increased participation in matans (sub-districts) depending on popu- the planning, implementation and monitor- lation size. Villagers engage in a participa- ing of development projects. Meetings are tory planning and decision-making process open and more participatory. to fund and manage their development For instance, one female villager from needs and priorities. Kota Baru shared: "I was happy about Ownership dimensions strengthened: the way it was done. All the women were Stakeholder participation in setting pri- invited. Some women got up and spoke. It orities; Transparency in management of was quite a lively meeting." (KDP Qualita- projects tive Impact Evaluation, World Bank 2007, p. ICOs achieved: 32). Increased participation of all citizens has Raised awareness of women of KDP; led to improved village governance, bet- Enhanced skills of community members ter health care and education services, and in KDP process; Improved coordination enhanced quality and timeliness of KDP- and collaboration among community funded infrastructure projects in Indonesia members and local government (Sinha 2011). The case study of KDP illustrates how capacity development enabled stake- (7) Jordan: Rapid Innovation Action holder participation in setting priorities and Learning (RIAL) Program transparency in management of projects. RIAL is a multi-staged, participatory, KDP devolves power to communities by consensus-building process that facilitates placing funds and the overall management dialogue among various stakeholders of KDP projects into the hands of villag- and helps encourage local stakeholders ers. To ensure participation is broad-based to design appropriate innovation policy and inclusive of marginalized groups, the solutions. The RIALs are designed as participation of women in setting priorities regional programs to foster cross-country was taken into account in the design of collaboration, synergies and learning. KDP's activities. Special attention is paid to Dimension strengthened: raising women's awareness, training them Commitment of political leaders to inno- in proposal writing, and encouraging them vation policy; Stakeholder participation to attend village meetings, engage in open in setting priorities for innovation policy dialogue, and participate in teamwork. This ICOs achieved: led to greater understanding of community Raised awareness of policy makers and members about the KDP project process business community; Strengthened and local governance and increased facili- muIti-stakeholder coalition; Improved tation skills of KDP change agents, and cooperation and consensus on proposal preparation skills of community innovation policy members. 24 In the case of the RIAL in Jordan, mem- mental groups, logging and wood-process- bers of the Jordanian government were ing industry representatives, academics, aware of the need for a comprehensive hunting associations, as well as government innovation policy. The process of raising agencies such as the Ministry of Agricul- awareness, coalition building and network- ture, Forestry and Rural Development, ing enabled improved coordination, coop- the Ministry of Environment and Spatial eration and participation from a variety of Planning, and the Kosovo Forest Agency. stakeholders. The development of a multi- KPEP then organized a series of discovery stakeholder coalition between government, meetings with stakeholders and facilitated academia, business associations and CSOs, development of a National Consultative and raised awareness on the issues, were Forum. instrumental in motivating the national The forum mobilized resources to government to commit to the design and inform communities of the importance adoption of the National Science, Technol- of forestry certification and helped them ogy, and Innovation Strategy 2012-2016. overcome traditional political and cultural The active participation of various stake- norms that discouraged individual citizens holders in setting meaningful priorities for from shaping issues of local, national or a cross-cutting innovation policy was crucial international significance. All stakeholders for ensuring that the innovation policy learned about forest certification, including was anchored in a broader reform agenda their individual roles in managing Kosovo's covering different sectors and areas (Agapi- forests. The group weighed individual tova, Larsen and White 2011). interests against common interests, which fostered cohesiveness and a sense of both shared purpose and process ownership. (8) Kosovo: Private Enterprise Previously, Kosovo had no common Program (KPEP) platform or forum where stakeholders Recognizing the unsustainable use of could share concerns and challenges forests in Kosovo and the varied interests related to forestry management, including in private and public players, KPEP worked timber harvesting. to engage a variety of stakeholders and The two-year capacity development create meaningful participation and local process of coalition building led to diverse consultation on forest management and stakeholders increasing their awareness, standards. trust for each other and participation in Ownership dimensions strengthened: forestry management. These outcomes Stakeholder participation in setting were recognizable in buy-in and support priorities; Commitment of government from government, civil society and industry leaders; Changes in social norms for in establishing the only recognized body engagement within Kosovo to provide technical advice ICOs achieved: and training required for forest certification Raised awareness of roles and responsi- (Temirbulatova and Bridges201l). bilities; Strengthened coalition of gov- ernment, CSOs and industry (9) Sierra Leone: Decentralization The case study of KPEP illustrates Program increased participation in priority setting, In March 2004, Sierra Leone's govern- commitment of government leaders and ment enacted the Local Government Act changes to social norms of engagement. (LGA) to provide the legislative framework KPEP began by identifying and engaging for political, fiscal, and administrative all key stakeholders in the planning and decentralization. The LGA ushered in 19 priority setting process. These stakeholders new local councils nationwide to coordinate included private forest owners, environ- the development of various localities. 25 Ownership dimensions strengthened: governments enhanced transparency of Transparency in use of local information regarding use of resources. government resources; Demand for Elite capture and corruption at the local accountability by citizens; Participation level still existed, but they were mitigated of citizens in local decision-making by transparent processes of funds transfer ICOs achieved: and project implementation. Liberal disclo- Increased understanding of relative sure policies had enabled close monitoring roles and responsibilities; Enhanced by stakeholders. An example was an active skills and know-how of multiple stake- NGO in Makeni, which blew the whistle on holders; Enhanced networks among corrupt practice in the town council and local councils forced the departure of the first mayor (Zhou, Y, 2009). Since 2004, as a result The Sierra Leone Decentralization of pressure from the people, two mayors Program is an example of increased trans- and a council chair had been forced out of parency, participation and demand for office for alleged corruption and improper accountability involving local councils and handling of public office. People who citizen ward committees. Activities under knew about specific council activities had the program included awareness raising a positive and improving view of their local across stakeholder groups, knowledge government's performance (Zhou (ed) 2009, sharing events and exchanges across local and Sachdeva 2011). councils, adoption of participatory pro- cesses, skills development and adoption of the Rapid Results Approach to deliver quick Further Examples results from local projects. As a conse- In addition to the case studies, the lit- quence, there was increased understanding erature review identified other cases where of relative roles and responsibilities among inclusive ownership was strengthened citizens, councilors and local government through capacity development efforts. For employees, and increased confidence in example, the Communication for Change councilors; and higher citizen expectations (C-Change) program in Kenya, and Thai- regarding access, participation, transpar- land's 100% Condom Use program illustrate ency and accountability. In addition, the how capacity development was influenced skills and know-how of multiple stakehold- by, and in turn affected, existing social ers increased to manage and monitor local norms and values, while in Uganda evalua- investment projects, and of marginalized tions provide evidence of the impact of the groups in the community (such as women) Health Scorecards Program on demand for to engage in decision-making processes. accountability. A key collaborative capacity developed was the engagement of citizen ward com- Influencing Social Norms in Kenya mittees in participatory planning processes. and Thailand Furthermore, networks were established among local councils, notably national The Communication for Change associations of local councilors. These (C-Change) Program in Kenya processes and intermediate outcomes Funded by USAID, this case illustrates were underpinned by assessment of the how specific activities were affected by local councils against standards for local and in turn influenced local social norms government planning, budgeting, financial and values in a program aimed at control management, reporting and participation of malaria. The most challenging aspect of (Zhou (ed) 2009). malaria control is promoting mosquito nets These capacities empowered citizens and other proven and effective prevention to engage in decision-making processes methods. Behavioral factors such as and to demand accountability, while local cultural practices often prevent individuals 26 and communities from adopting these cessful that similar campaigns were started methods promptly and appropriately. For in Cambodia, China, the Lao People's example, many communities in Kenya do Democratic Republic, Myanmar, the Philip- not consider sleeping under a treated pines, and Vietnam (UNAIDS 2010). net as "normal," whether or not they own one. They continue to spend money on Uganda's Health Scorecards coils and sprays to prevent biting-again Program regardless of whether they own mosquito The Uganda Health Scorecards Program nets. The C-Change capacity development is one of the few empirical evaluations of a process focuses on raising awareness and community scorecard process that illus- knowledge of women, particularly pregnant trates how specific activities can have an women, through community mobilization impact on health. Anecdotal and survey and mass media. As a result, increased evidence had previously found that health awareness and knowledge of basic services users in Uganda encountered a facts-such as mosquitoes cause malaria, variety of constraints when visiting public and prevention can be achieved through health facilities, and perceived continued mosquito nets-changed behaviors, weaknesses in health care delivery at the and improved the use of nets in Bunyala primary level. The capacity development district. A November 2010 evaluation of process focused on training communities to C-Change programs in this district, which conduct citizen scorecards and using infor- used baseline data from September mation from community scoring to enforce 2009 for comparison, showed that use accountability and demand better services. of insecticide-treated nets by pregnant The change process also included interface women increased from 28 percent to 68 meetings, where community members dis- percent (USAID 2010). cussed the high rates of absenteeism, long waiting times, weak attention on behalf Thailand's 100% Condom Use Program of the health staff, and differential treat- (CUP) ment. In these meetings, the health service This case illustrates how activities took providers' information was contrasted with into account existing social norms and data based on the community's percep- values in controlling HIV/AIDS. What made tions. This information helped providers CUP successful were the efforts made to review and analyze their performance and change social norms and practices around compare it with other clinics in the district. condom use. Condom use was promoted At the interface meeting, community mem- throughout the country through mass bers also devised a strategy for improving media, peer education and outreach health service provision. programs aimed at specific groups. Health The community scorecard project workers held meetings with sex workers strengthened demand for accountability once a month. These meetings provided and had positive development results. In information on STIs, HIV/AIDS, and proper more than one third of the treatment locali- condom use, and clearly played a role in ties, Health Unit Management Committees raising awareness and building demand for viewed as ineffective were dissolved (local condom use. The results of CUP were stun- bodies consisting of members from the ning: new STIs among sex workers fell from facility and non-political representatives 13 percent in Ratchaburi province to less from the community), and new members than 1 percent two months after introduc- were elected. CBOs also reported that ing the program. And within three years, community members monitored health condom use among sex workers increased facility staff during their visits to the dis- from less than 25 percent to more than 90 pensary. One year into the project, treat- percent, according to the Department of ment facilities were significantly more likely Disease Control. The program was so suc- to have suggestion boxes and numbered 27 waiting cards and had posted information on free services and patient rights. This in turn further increased community involve- ment in monitoring of health facilities. The community scorecard intervention has subsequently had a positive impact on all aspects of the health service delivery sys- tem in Uganda. The capacity development interventions have induced better commu- nity monitoring of health facilities, better health care provision at the facility level and increased use of facilities at the community level (Bjorkmann, in Rengold et al. 2011). 28 Operational Lessons The case studies and literature review improvement in collaborative capacity highlight important factors for strengthen- among different actors was required in addi- ing inclusive ownership. The study does not tion to increasing the capacities of specific suggest a blueprint; nor does it establish groups in terms of awareness, knowledge, causality among various factors. Rather, the skills and internal interaction. This capacity study suggests practices that may support enabled greater demand for accountability strengthening inclusive ownership through and participation in decision-making by results-focused approaches to capacity citizens and non-government stakeholders, development in the following areas: improved transparency and responsiveness (1) Collaborative capacity for change by the public sector and joint action across -strengthening cross-stakeholder stakeholders. engagement In some cases, the engagement mainly (2) Diagnosis, constraints and opportunities occurred between local authorities and (3) Results chain and guiding theory of communities on use of public resources and change services. For example, in the CUTS program (4) Local leadership with supporting role for in Rajasthan, meetings between communi- external partners ties and local government bodies created (5) Adaptive implementation and tracking a common platform that enabled effective intermediate outcomes dialogue regarding the quality of health ser- vice delivery. This interaction empowered citizens to question service providers, while (1) Collaborative Capacity for encouraging service providers to respond, Change-strengthening cross- and for joint action to solve problems stakeholder engagement (Cheriyan 2011). In all of the cases, strengthening the In other cases, the engagement con- capacity of specific groups to take action cerned multiple government and non-gov- was an important part of the change ement actors coming together to shape process, but was not sufficient. Collabora- and advance development policy or action. tive capacity across different stakeholder For example, the Kosovo Private Enterprise groups-such as local governments, public Program created a common platform for service providers, communities, CSOs, dialogue and stakeholder engagement central government, media, parliamentar- where none had existed. The design of the ians-to work together was also necessary. National Consultative Forum brought a Collaborative capacity involves a wider variety of stakeholders together (from gov- range of stakeholders engaging in the ement, forest owners, industry, CSOs, aca- development process and a greater ability demia and other interest groups) to share to address development challenges by concerns, interests and their individual prac- working together. The initiatives supported tices while opening up the space for trust the development of collaborative capacity, and agreement on a common agenda. This strengthening the motivation and arrange- contributed to stakeholders participating in ments for engagement and coordination shaping forest management standards and across different stakeholder groups.. The committing to a certification program. 29 (2) Diagnosis, Constraints and they participated more in setting priorities Opportunities (Sinha 2011). In all of the case studies, understand- In terms of the benefits of taking advan- ing the context was essential for assessing tage of existing or emerging opportuni- the starting conditions for the initial design ties for change, three case examples are of the capacity development initiative. In provided. The ICT4GOV program in South particular, diagnosis of the institutional Kivu represents a successful capacity devel- context enabled identifying constraints and opment initiative where the government opportunities to advancing development has implemented participatory budgeting processes that served as targets for change for the first time in the country. Extensive and as entry points for the interventions, as diagnostics and stakeholder discussions well as for selecting appropriate tools and indicated that participatory budgeting approaches that could facilitate the process was likely to be a potentially successful of strengthening ownership and capacity in initiative particularly in South Kivu, given that local context. the expressed interest of the marginalized In terms of the benefits of adequately communities to participate in such a pro- addressing initial constraints, two examples cess and the level of education in the prov- are given. The CUTS program in Rajasthan ince. Recent monitoring exercises indicate aimed at improving health service delivery citizens are interested in the initiative and in the state. Some studies had pointed to participating (Balbo di Vinadio 2011). absenteeism as being prevalent in health In Sierra Leone, the enactment of the centers and schools in rural India, and had Local Government Act in March 2004 found that monitoring by higher authorities ushered in 19 new local councils nation- in remote areas was difficult and infrequent wide. The objective of decentralization (Chaudhury, Hammer, Kremer, et al 2006). was to bring the government closer to the Hence, the capacity development initiative people, thereby improving service delivery, included a Participatory Absenteeism Track- increasing accountability of government ing Process and community monitoring agents and enhancing public voice in for developing a system of monitoring of governance issues. Accordingly, the Sierra public services among the community, and Leone Decentralization program sought for gathering credible data on absenteeism to enhance citizens' access to politicians, of health service officials. Community moni- thereby increasing the former's influence toring was found to be effective in dealing over decisions. It also sought to increase with absenteeism (Cheriyan 2011). citizens' access to information about the In KDP in Indonesia, particular atten- government, thereby enabling them to bet- tion was given at the project design stage ter assess and monitor government activi- to empowering women through capac- ties. Through this combination of voice ity development. Some assessments had and information, decentralization aimed to found the constraints that hindered the increase citizens' ability to demand bet- participation of women in demanding bet- ter services and hold their representatives ter services included tradition and lack of accountable for public sector performance. proper skills for assessing services. A major In addition, field-based consultations high- challenge related to culture and tradi- lighted the need for involving traditional tion, since women were found to be shy chiefs in the ongoing decentralization and afraid to participate when sitting with reforms; hence the project included activi- men during meetings. Hence the change ties to further engage with the traditional process involved capacity development chiefs and to encourage their collaboration activities that built the confidence and with local councils (Zhou (ed) 2009; Sach- knowledge of women. Subsequent evalu- deva 2011). ations of KDP show that the confidence The CVA program in Colombia aimed of the women increased as a result, and at promoting citizens' participation in the 30 control of the use of royalties managed Figure 3 illustrates the results logic by sub-national governments. Colombia's behind the intervention in PBS in Ethiopia. legal framework set the foundations for The theory of change that guided this pro- civil society's participation. Law 80 of 1993 gram and the other eight cases prepared established that all contracts entered for this study are shown in Annex 1. into by state agencies must be subject to surveillance and social control, and the national government and local authorities (4) Local Leadership with must establish mechanisms to ensure that Support from External Partners those contracts were controlled and super- Several case studies highlight the vised by the community. Further, the 2007 importance of local stakeholders owning National Development Plan (Law 1151) the process of capacity development, which stated that the National Department of led to results that benefited them. External Planning would be in charge of implement- organizations proved to be helpful when ing the mechanisms of CVAs for ensuring they facilitated the process without tak- effective social control in the use of royalty ing the lead (and potentially disrupting an funds. Based on its assessment during the ongoing local process). The appropriate project design stage, the project team role of external organizations was mainly as took advantage of a conducive enabling conveners or knowledge connectors. environment that offered an opportunity to In the case of Jordan prior to the RIAL implement the change initiative (Felcman, program, the country's innovation policy Mosqueira 2011). was already receiving increasing attention from the government, under the leadership of a member of the royal family. But it was (3) Results Chain and Change somewhat uncoordinated because of lack Strategy of participation of key stakeholders, such Several cases illustrate the benefits of as prominent members of the local busi- planning and designing capacity develop- ness community and academia. Interviews ment initiatives with particular attention to conducted as part of the Innovation Policy the results desired. It helps to have a clear Diagnostic showed that there was already change or results logic that articulates the a certain amount of ownership/commit- change process and identifies indicators ment within the government: "Members of that could be used to track progress. A Jordanian government were well aware of guiding theory of change can be useful for the need for a comprehensive innovation planning initiatives carefully and achieving policy. Further, there was acute awareness results, in terms of strengthening inclusive of the fact that innovation programs were ownership. often announced by various parties without In the case of PBS in Ethiopia, the the proper coordination even among con- capacity development strategy was clearly cerned government institutions" (Agapi- articulated. The approach and activities tova., Larsen, and White 2011). took into account the goal of the inter- Once this was recognized and accepted, vention and the existing conditions and the government was able to shape context of the country, and it also gave the National Science, Technology and particular attention to results measurement Innovation Strategy 2012-2016 with the along the results chain. During program active participation of academia, business implementation, M&E exercises measured leaders and CSOs. WBI acted mainly as progress against specific indicators. This a convener and helped the government enabled timely adjustments to be made as undertake a facilitated dialogue among needed to achieve desired results in terms various stakeholders that was instrumental of strengthening ownership. in shaping the national innovation strategy and facilitating increased buy-in from the 31 Figure 3. Results Chain and Change Logic of Ethiopia's PBS Program Strengthened Inclusive Ownership and Indicators Citizens use information to demand better services; service providers are more responsive to citizens' demands; citizens and service provider change their perception on social accountability (change in social norms) Indicators: Level and quality of participation in the initiative; level and quality of interaction between citizens and with service providers Change Process and Indicators Increased ability and motivation of citizens to hold service providers accountable; increased ability and motivation of service providers to respond to citizens' demands. Indicators: Level of understanding improved and awareness raised; access to information Capacity Development Strategy and Activities 50 CSOs piloted a series of projects in approximately 80 worecas (districts) by using several tools including: Right Based Approach, Community Score Card, Citizens Report Card, and Participatory Budgeting, as well as Focal Group and Interface Discussions and Participatory Planning and Monitoring. Activities included: training and workshop on the principles and benefits of social accountability and on formulating action plans using participatory techniques in focus groups; sensitization program to citizens, service providers and local governments; training assistance and mentoring; networking and collaboration among CSOs; access to information. Based on a Prior Analysis of Constraints and Opportunities CONSTRAINTS OPPORTUNITIES Low access to information; Existence of many local organizations Low level of understanding of budget; such as faith-based, development- Low accountability relationship; based and charity-based organizations Low voice of citizens and CSOs; Perception of citizen of their roles and responsibilities vis-a-vis civil servants government as well (Agapitova, Larsen, and tries and practitioners. In the case of RIAL, White 2011). to facilitate the design of the innovation The ICT4GOV and RIAL cases illustrate policy reforms, WBI supported a study tour the knowledge connector role that external to Korea organized by the Korea Develop- partners can play. In the case of ICT4GOV, ment Institute. This enabled Jordanian WBI has supported South-South knowl- innovation policymakers to become familiar edge exchange, through which Democratic with the Korean approach to mobilizing Republic of Congo stakeholders learned sustained political and social support for from experiences of other countries with innovation policy reforms, and it helped participatory processes. The program also them devise participation mechanisms for supported knowledge exchange, innova- involving the private sector in innovation tion and sharing within the community. policy formulation. Furthermore, WBI is extracting, packaging In the Burkina Faso Shadow Report and disseminating lessons to spread the program a coalition of CSOs prepared South Kivu pilot experience to more coun- and submitted a Shadow Report on the 32 Box 4. Community Driven Development Initiatives and Ownership Community Driven Development (CDD) projects constitute powerful examples of capacity development initiatives that empower stakeholders to bring about change. In particular, these initiatives illustrate that local capacity exists, but needs empowerment to be harnessed. "Consid- erable institutional capacity already exists in communities and local governments. This capacity has been cloaked by a lack of local empowerment to use it. Any definition of capacity that focuses only on technical capacity will miss the huge potential that exists. Existing capacity is best defined as the ability to solve problems. People who have survived by trying to solve problems in difficult economic and political conditions have considerable capacity to put their experience and skills to work, once they are empowered" (World Bank, 2002). In CDD projects communities, rather than being mere recipients of services and grants, take the lead in the de- velopment process by identifying their priorities and getting financed through matching grants. The participatory planning processes builds on existing social capital, but also seeks to strengthen it. With support of trained interna- tional and local facilitators, capacity development in CDD occurs at different levels as follows: diagnosis; identifica- tion of priorities; problem and solution analysis; elaboration of action plans; ensuring fuller participation of vulner- able groups; strengthening of community organizations; and strengthening of community-based accountability. The participatory process gives communities the opportunity to analyze and discuss their local situation in a system- atic fashion, identify community needs and implement action plans. In this way, communities can "own" the process of setting their local priorities. For instance, an initiative implemented in Malawi used a community-driven development approach that targets poor and vulnerable groups and local governments. The project aimed to finance public works and improve exist- ing facilities, provide funds to strengthen local authorities and enhance accountability and transparency in the use of project resources. Anecdotal evidence suggests that this project found that the voiceless and vulnerable have been empowered to identify their needs and implement and manage activities that increase their incomes through activities such as drug revolving funds (World Bank, 2003). government's implementation of CEDAW and broad consultation. They began by to the United Nations CEDAW Committee. identifying and engaging all key stake- The production of the Shadow Report, and holders-including private forest own- the first roundtable between the CSOs ers, environmental groups, logging and and the government, were the result of wood-processing industry representatives, strong leadership from women CSOs. academics and hunting associations, as well The capacity development process was as several government ministries. They then supported by the National Democratic organized a series of discovery meetings Institute, which knowledge and skills with stakeholders and facilitated develop- development, facilitated collaboration, ment of a National Consultative Forum. teamwork and coalition building among The forum mobilized resources to inform various stakeholders (Pompi 2011). communities of the importance of forestry In the Kosovo KPEP program, external certification, as well as its economic, social, partners such as USAID and Booz Allen environmental and other benefits. This played a facilitator role in developing the enabled buy-in and support from govern- Forest Stewardship Council standards for ment, civil society and industry, and it Kosovo. The country previously had no helped establish the only recognized body common platform or forum where stake- within Kosovo that provides the technical holders could share concerns and chal- advice and training required for forest certi- lenges related to forestry management, fication (Temirbulatova and Bridges 2011). including timber harvesting. The external The study's literature review identifies partners' capacity development strategy other examples in which local stakeholders involved engagement with local stake- took the lead in the capacity development holders, meaningful public participation process at the community level (Box 4). 33 (5) Adaptive Implementation training to raise awareness of their and Tracking Intermediate entitlements. Outcomes A complementary finding is important The case studies and literature review as well: the relationship between ICOs illustrate that capacity development activi- and the dimensions of stakeholder own- ties do not progress in a straightforward ership is more nuanced than one might or linear manner. Capacity development is think. For instance, the literature review inherently an interactive and mutually rein- refers to the case of Porto Alegre in Brazil, forcing process of learning by doing. This where through participation in the capac- process cannot be designed in advance ity development process, citizens became and implemented as if it were a blueprint empowered and learned how the budget that would not need to be modified during works (Alsop et al., 2006). "If it is true that implementation. The focus on achieving a greater sense of awareness of rights is a intermediate results facilitates adaptive pre-requisite for deepening action and par- management during the change process. ticipation, it is also true that citizens raise Many of the case studies show that their awareness through the very process of ICOs are complementary and mutually participating in collective action efforts that reinforcing, and the change in the ability they are engaged in" (Gaventa 2010). or disposition of stakeholders to act was Figure 4 illustrates two points: (1) delib- the result of a combination of several ICOs. erate activities (such as training and work- For example, the cases provide examples shops) can have an impact on the process of effective skill development for enhanc- of empowering stakeholders; and (2) the ing inclusive ownership, but there were change process that empowers stakehold- instances too where simply enhancing skills ers involves interaction between ICOs and was found to be insufficient. In these cases, the ownership dimensions. skill development proved to be ineffective Several of the case studies show the in the absence of prior or concurrent invest- importance of deliberately tracking ICOs ments in raising awareness. and ownership dimensions during the During implementation of the Ethio- change process to support adaptive man- pia PBS program citizens understood the agement. information available about service qual- The example of adaptive management ity delivery, but they were not demanding in Ethiopia's PBS illustrates how the addi- better services because they felt they were tion of capacity development activities that not "allowed to" confront service provid- led to raised awareness arose from close ers. They started interacting with service monitoring of the change process and the providers and demanding accountability intermediate results achieved. This sug- once they understood their entitlements gests that ICOs are legitimate to measure, following an additional package of capacity as they capture intermediate but important development activities implemented, such milestones in the change process. as awareness campaigns on citizens' rights The Sierra Leone Decentralization and responsibilities. program adopted a comprehensive In the ICT4GOV case, citizens started approach to M&E, capturing improvements getting involved in participatory budgeting in awareness and skills, collaboration and because they could access information engagement, local government planning on budget procedures and began to and financial management practices, understand how to use the information. transparency and participation achieved In the state of Rajasthan in India, selected and impact on service delivery. This CBOs working in the vicinity of health significantly contributed to the adaptive centers were trained rigorously in using management of the change processes, Citizen Report Cards to gather feedback learning what works and where challenges from beneficiaries, and they also received remain, transparency and access to 34 Figure 4. Mutually Reinforcing Process of Change workshops, outreach, workshops, outreach, training programs, training programs, knowledge exchange, etc.] knowledge exchange, etc. Empowering stakeholders information by citizens, and maintenance of the commitment to the reform process. informal interviews, participant observation, Another example of how ICOs and direct observation (such as ongoing KDP inclusive ownership were measured is the or village meetings, information boards), KDP program in Indonesia. This program and review of project documentation such has devoted a lot of resources to M&E as village social maps and wealth ranking during the course of its implementation, documents, project proposals and financial investing in monitoring, impact evalua- records. tion, and research. In particular, a 2007 Behavioral change was measured World Bank qualitative impact evaluation through a combination of quantitative data has sought to determine whether KDP and generated by observation or recall, and by its capacity development efforts had an quantification of qualitative changes using impact on community empowerment and perception scores. Perception indicators participation. were used to ask respondents to score This evaluation examined whether KDP the quality of a given type of behavior or was able to change government practices, relationship on a four-point scale: (1) very and whether it increased villager capac- satisfied, (2) satisfied, (3) unsatisfied, and (4) ity to more adequately identify and solve very unsatisfied. In addition, recall indica- community development needs, or gener- tors were used to recount the frequency of ally assert themselves in economic, politi- particular types of behavior or count the cal and social decisions that affect their number of villagers participating in a public lives. Qualitative research was conducted meeting. in 36 villages spread across 12 kabupaten Such an impact evaluation approach can (districts) in four provinces: South Sumatra, provide meaningful data and conclusions. Central Java, South Kalimantan and North In general, though, measuring the change Sulawesi. The study collected data through process and how people change behavior in-depth, semi-structured interviews and remains a challenging task. The study focus group discussions at the village, shows that only in a few cases were ICOs kecamatan and kabupaten levels. Field recorded and measured. This finding 35 Box 5. Knowledge Gap in Measuring the Change Process The literature review reveals that several recent studies have underlined the knowledge gap in terms of measuring the process of change and ICOs. The explanations below also provide insights into why it is important to measure the change process. In its work on participation, Gaventa mentions an evaluation of over 90 donor programmes conducted by Rocha Menocal and Sharma that concludes that "all country case studies have been unable to establish a direct causal link between citizen voice and accountability interventions and broader development outcomes. In general, there needs to be more effort to establish a middle ground of identifying attitude and behavior indicators which are a direct outcome of citizen voice and accountability activities" (Gaventa 2008, p. 34). A recent DFID paper on voice and accountability interventions focuses in particular on identifying V&A (Sweden) indicators at the output level of behavioral change. According to the paper, many V&A projects seem to involve a leap of faith that assumes that by building awareness of rights among rights holders, or by strengthening the capacity for responsiveness amongst duty-bearers, there will be an automatic change of behavior and power rela- tions that will lead the project seamlessly into an improved set of outcomes. However, experience suggests that this assumption about behavioral change is problematic at best. By increasing the visibility of behavioral change indicators at the output level in the log-frames, it becomes possible to interrogate this 'leap of faith'. This can be done by measuring and testing assumptions about the effect of project inputs, such as capacity building, and the subsequent impact of changed behavior on project outcomes (Holland and Thirkell with Trepanier and Earle 2009) Box 6. Innovative Approaches for Measuring Behavioral Change There is currently much debate on how to measure behavioral change in development projects. While there is an increased interest in impact evaluations and randomized controlled trials, some practitioners argue that experimental and quasi-experimental methods are not the only ones that are "rigorous". For measuring behavioral change and capacity development, some practitioners argue that alternative methodologies, including outcome mapping, utilization-focused evaluation, recording the 'most significant change', and 'realistic' evaluation might be more appropriate (Harry Jones, ODI, 2009). These approaches could be used for monitoring or evaluating interventions, and their findings could potentially contribute to empowering beneficiaries. In the case of the Burkina Faso Shadow Report program the "most significant change" technique was used for collecting the data to evaluate the impact of the initiative. Two changes were identified as most significant: Increased understanding of the CEDAW by civil society, and more political sensitivity by parliamentarians to the obligations of the government of Burkina Faso (Pompi, 2011.). The most significant change technique is a form of participatory tracking of progress. It is participatory because many project stakeholders are involved, both in deciding the sorts of change to be recorded and in analyzing the data. It is a form of tracking or monitoring because it occurs throughout the program cycle and provides information to help people manage the program. The process involves the collection of significant change stories from the field level, and the systematic selection of the most important of these by panels of designated stakeholders or staff. The designated staff and stakeholders are initially involved by 'searching' for project impact. Once changes have been captured, various people sit down together, read the stories aloud, and have regular and often in-depth discussions about the value of the reported changes. When the technique is successfully implemented, whole teams of people begin to focus their attention on programme impact. is consistent with the conclusion of the process that development practitioners are literature review that there is a knowledge increasingly using. gap with regard to the measurement of the change process in development projects (Box 5). Some promising approaches are being tried, however. Box 6 highlights innova- tive approaches for measuring the change 36 Conclusion This study has contributed insights and However, given the small sample size earning on fostering inclusive ownership and limited scope and resources of the through capacity development initiatives. study, its findings and their operational First, the study showed the results chain implications only identify general patterns and change process in each of the nine and possibilities. They are not intended cases that had led to improvement in inclu- to be definitive, or to serve as a standard sive ownership. prescription for all efforts seeking to Second, from the study of the selected strengthen inclusive ownership through cases it has been possible to demonstrate capacity development. Nevertheless, the that inclusive ownership can be susceptible operational implications of the nine case to improvement as a result of strategic studies seem promising, and could be fur- capacity development efforts, when consid- ther developed through in-depth investiga- ered in practical terms of the operational tion. dimensions examined in this study. The For this, systematic approaches to unbundling of inclusive ownership into strengthening inclusive ownership-such these dimensions helps to make it observ- as the CDRF that provided the analytic lens able and an operational target for change. for this study-would need to be deep- Third, the study identified operational ened, perhaps through an action-learning lessons from the cases that could inform approach that could further test and refine the design and delivery of programs that the operational findings identified. seek to strengthen inclusive ownership Three areas that could be examined through capacity development. further are: In addition, the study showed how that The five dimensions of inclusive owner- use of an analytic lens such as the CDRF, ship, in terms of their relevance in given in particular assessment of intermediate contexts, and how they can be achieved. results of capacity development, helped to For example, are the five dimensions deconstruct the change process that has of ownership used in this study always taken place in a given case. necessary? Can ownership be effec- The case studies and literature review tive-in the sense of helping achieve illustrate the importance of building col- objectives-if any of the dimensions are laborative capacity across stakeholder missing? Which dimensions are the most groups, ensuring a continuing fit with the important? Is the compatibility of social local context, leadership by local stake- norms and values a necessary contextual holders, facilitation by external partners, requirement for changes to be made in and guidance by a carefully articulated other ownership dimensions (participa- change approach. By periodically assess- tion, accountability, transparency)? And, ing the change process as it evolves, and can social norms be changed overtime by making the modifications needed in as a result of changes in other ownership response to changing constraints and dimensions? opportunities, the likelihood of achieving The "missing middle,"that is, the the desired ownership and related goals change process, and better ways of may be improved, effecting and assessing changes in ICOs. 37 For example, how can the change pro- cess be tracked in different contexts? What are the appropriate indicators for behavioral change, and how should data be collected? * The context and capacity development, that is, under what circumstances and how do particular capacity development efforts strengthen ownership and pro- duce the desired development results. For example, what are the contextual and other requirements of effective teamwork, local leadership, participa- tion, networks, and coalitions? How should they be designed and imple- mented for them to be effective? In what contexts does an increase in transpar- ency through capacity development prompt greater participation or account- ability? Follow-up of the study could include research that incorporates mixed-method approaches of monitoring and evaluation with a particular attention to qualitative assessments, in order to better understand the change process and the context sur- rounding capacity development. To undertake this follow-up work, continued collaboration is needed among a broad range of development partners interested in promoting inclusive owner- ship. This collaboration would strengthen ongoing efforts to develop and enhance the knowledge base and global network on capacity development and inclusive owner- ship. 38 References 2011. Cairo Consensus on Capacity De Renzio, P., L. Whitfield, and I. Bergamaschi. Development: Call to Action. 2008. 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Washington, D.C. 40 Annex: Change Process Diagrams for Case Studies (1) Convention on the Elimination of All Forms of Discrimination Against Women (CEDAW) Shadow Report Program in Burkina Faso Weak knowledge and skills in Constraints conducting a shadow repor-t; low awareness of the importance of CEDAW; weak coalitions Main unp lernenters NDI CD Activities Agents of Government Citizens Change Raised awareness of government on Enhanced knowledge and skills on how to importance of CEDAW compliance 4 conduct a shadow report; strengthened coalitions of women CSOs ICOs and Change Process Change in disposition and the Change in the disposition and ability ability to interact with women CSOs to work together, and monitor CEDAW and be more responsive implementation through shadow reports Greater participation and voice of women CSCis in dlecisionma king Strengthened and monitoring of CEDAW Inclusive Ownership Government commitment and responsiveness regarding CEDAW increased 42 (2) Citizens Visible Audits (CVA) Program in Columbia Constraints Irregular use of funds and even corruption practices in public works financed with royalties CD Activities Public hearings at launch, implementation and completion of public projects Agents of Change Local councils - Beneficiaries committees Communities Raised awareness regarding use of royalty funds and community's role; increased know-how in monitoring public projects; improved collaboration between communities and local authorities ICOs and Change Process Change in disposition Change in the ability to Change in and ability to interact monitor investment works motivation and with citizens and be ability to control the more responsive use of royalties * Increased * Participation in transparency of public hearings information on public increased Inclusive projects * Community's Ownership * Greater commitment demand for to transparency, accountability on collaboration and the use of royalties accountability in use and the quality of of public funds public expenditure is increased 43 (3) Information and Communication Technology for Governance (ICT4GOV) Program in Democratic Republic of Congo Constraints Low access to information, low level of understanding of budget and limited engagement of citizens Main implementers: local stakeholders and WBI Trainings, awareness campaigns and knowledge exchange on participatory budget and CD Activities ICT, networking; citizen engagement; coaching; coalition building Agents of Provincial Local CSOs Citizens Change governments governments Raised awareness; enhanced understanding of how to participate (through ICT) or mobilize others to participate; strengthened multi-stakeholder coalitions and engagement ICOs and Change Process Change in the Change in the Change in the Change in the motivation to do ability and ability to mobilize ability to do participatory bud- motivation to citizens participatory geting; change in engage with -- budget using ICT the ability to inter- citizens act with citizens * Government * Increased * Citizens' commitment commitment participation Strengthened to participatory to participatory in setting Inclusive budget budgeting priorities is Ownership supports increased transfer of money to local governments Contribution to. Cevlon into Increased funding of investment projects to support basic services; Develope increased payment of taxes by citizens Results 44 (4) Protection of Basic Services (PBS) Program in Ethiopia Low access to information; low level of understanding of budget; low Constraints accountability relationship; low voice of citizens and CSOs; perception of citizen of their roles and responsibilities vis-a-vis civil servants Main implementers: management agency and CSOs Trainings and workshop on social accountability and on formulating action plan using CD Activities participatory techniques in focus groups; sensitization program to citizens, service providers and local governments; technical assistance and mentoring; networking among CSOs; access to information; social accountability tools Agents of Change CSOs Citizens Service providers Raised awareness of social accountability; enhanced skills; improved dialogue and collaboration between citizens and service providers; enhanced CSO network ICOs and Change Process Change in the Change in the Change in the ability of CSOs to ability and ability and train stakeholders motivation of motivation of and mobilize 0 citizens to hold service providers citizens service providers to respond to accountable citizens' demands * Change in * Change in social norms social norms Strengthened (citizens' (service Inclusive perceptions) providers Ownership * Citizens use perceptions) information to * Service demand better providers more services responsive to citizen needs Contribution to Instances of improvement in service delivery Development (such as less absenteeism of health officers and teachers) Results 45 (5) CUTS (Consumer Unity and Trust Society) Rajasthan Health Reform Program in India High absenteeism in state health care centers; low participation of citizens in quality of Constraints services; poor ownership between service providers, community, and local government Service providers, community based organizations (CBOs), local government CD Activities Awareness and training of CBOs in citizen scorecards; awareness of local leaders of their important role in NRHM and community monitoring, interface meetings with service providers, community and local government representatives Agents of Change Service providers CBOs Local government Enhanced awareness and skills of CBOs regarding community monitoring; improved com- munication and cooperation among service providers, community, and local government ICOs and Change Process Change in the ability of Change in the ability of Change in the ability of service providers to be CBOs to monitor the local government to more accountable performance of service play a key role in providers quality of services Strengthened. Sngthenved Responsiveness toward Demand for Responsiveness toward Inclusive citizens is increased accountability from citizens is increased Ownership citizens and CBOs is increased 46 (6) Kecamatan Development Program (KDP) in Indonesia Top-down approach and planning; abuse of office; Constraints lack of voice of citizens; poor participation KDP change agents, local leaders, and citizens CD Activities "Open" village meetings; information dissemination at village meetings; awareness and skills meetings with women community members, trainings on proposal writing and project management Agents of Change Local leaders Citizens Raised awareness and enhanced skills of citizens regarding project management; improved coordination and collaboration between communities and local leaders ICOs and Change Process Change in the ability of Change in the ability local leaders to organize of citizens to plan, and mobilize citizens implement, and monitor development projects * Increased transparency * Participation in project in management of decisionmaking at Inclusive projects community level is Ownership increased * Women's participation is enhanced 47 (7) Rapid Innovation Action Learning (RIAL) Program in Jordan Lack of awareness of non-state actors of how innovation policy could benefit their community; lack of participation of non-state actors in Constraints setting priorities; inability to exploit synergies between the various national stakeholders and the private sector WBI as faclttor and connetor CD Activities Coalition-building consultations and events; raising awareness events Agents of Government/pol itical leaders Business community and Change non-governmental actors Raised awareness of the importance of innovation policy; multi-stakeholder coalition formed; improved collaboration and consensus among government, business community and other stakeholders ICOs and Change Process Change in the ability and Change in the motivation motivation to invest in and ability to participate innovation policy and ability to in the process engage with stakeholders Strengthened . Inclusive Government buy-in Increased participation in Ownership setting priorities 48 (8) Private Enterprise Program (KPEP) in Kosovo Unsustainable use of forests; no common platform for open dialogue on forest Constraints management; lack of forest management standards, certification, and trainings Government, industry, private owners, and community Awareness of stakeholders on the importance of forest management; National CD Activities Consultative Forum involving government, industry, private owners, and community; sensitization and awareness on best practices Agents of Government Industry, private owners, and community Change Raised awareness and strengthened trust and coalitions on a common agenda regarding forest management standards and certification program Change in motivation of Change in ability of non- ICOs and government to commit state actors to participate Change Process to certification training in shaping forest program management standards and commit to forest certification program Strengthened / Inclusive Government Changes in social norms Participation in shaping Ownership commitment to establish for engagement forest certification pro- forest certification gram increased 49 (9) Capacity Building for Decentralization Program in Sierra Leone Low level of capacity of local councils; low level of engagement between citizens and local Constraints councils; low level of awareness of decentralization process among citizens Main implementers: Sierra Leone govemnment Awareness campaign; citizen engagement through ward committees; training on CD Activities project management and monitoring; network building among local councils; building transparency mechanisms; incentivize local council performance Agents of Change Local governments (and service providers) Citizens Raised awareness and understanding of role of local councils and engagement of citizens; increased skills to manage and monitor projects; mechanisms for citizen engagement; networks of local councils ICOs and Change Process Change in the ability to identify Change in the disposition and and sustainably address ability to participate in the development challenges decentralization process Strengthened I, Ward committees Inclusive Greater transparency in use of Increased participation in local Ownership public funds decisionmaking and demand Onsifor accountability Contribution to Improvements in service delivery (that is, steady improvement in the Development quality of clinics, availability of drugs, and numbers of staff) Results 50  What can be done to foster more inclusive ownership, a critical factor in strengthening development effectiveness? This study report demonstrates how capacity development efforts, when strategic and collaborative, can contribute to strengthening inclusive ownership dimensions. The study involved a literature review and an analysis of nine selected case studies using WBl's results framework to assess each change process. By dleconstructing the cases in this manner, the report showed how different combinations of capacity development activities and intermediate results empowered agents of change to strengthen inclusive ownership. The report's findings provide several operational lessons for development practitioners to consider, in the areas of strengthening multi-stakeholder collaboration, investing in assessment and planning, emphasizing local leadership and tracking outcomes for effective change management. THE WORLD BANK (1aR i W o rtd B an k - - 0~0~00 Institute0 - S ~ 01-0011 - -