Complementary to environmental education, there is the need to develop the capacity for individuals and organizations to effectively participate in co- management. Capacity can be defined as ‘the ability of individuals and organizations or organizational units to perform functions effectively, efficiently and sustainably’ (UNDP, 1998). Capacity development includes understanding what co-management is and how to organize and participate in it, communicating with other stakeholders, dealing with administrative and business matters, and participating in negotiations. Capacity is a continuing process and is the power of an individual or organization to engage, in this case, in co-management.
The objective of capacity development is not to supply a product or service but to foster the development of specific individuals and organizations (Box 8.11). Capacity development is often needed to raise an organization’s performance level, which is reflected in its efficiency (minimizes costs), effectiveness (achievement of its goals) and sustainability (relevance and acquiring resources for operation). The core capacities of an organization or community consist of:
● Defining and analysing the environment or overall system;
● Identifying needs and/or key issues;
● Formulating strategies to respond to or meet needs;
● Devising or implementing actions; assembling and using resources effectively and sustainably;
● Monitoring performance, ensuring feedback and adjusting courses of action to meet objectives;
● Acquiring new knowledge and skills to meet evolving challenges.
Most capacity development efforts focus on only one or a few of these critical capacities needed by an organization, on the assumption that the
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improvements brought about in these capacities will lead to improvements in the performance of the organization as a whole. This assumption is seldom tested, however. The capacity development efforts should be tested periodically in order to provide a basis for improving future capacity development efforts (Horton, 2002).
A key issue in capacity development is what is referred to as ‘social capital’.
It is important to recognize that the whole social community is more than the sum of its individual parts. People form relationships that fulfil a number of social needs such as communities of common interests, mutual obligation, care, concern, interest and access to information. These can be considered as networks of norms and trust which facilitate cooperation for mutual benefit.
Social capital facilitates a process of learning through interaction. This social capital is critical to achieve collective action and to prosper and sustain a social, economic and institutional environment that is ready to adapt and change. The social networks can be horizontal (across the community) to give communities a sense of identify and common purpose or vertical (government to community to individuals) to broaden capacity and support.
8.4.1. Levels of capacity development
Capacity development efforts may focus on different levels. Capacity for co- management can take place at three levels:
● Individual;
● Organizational;
● System or enabling environment.
These three levels are nested within each other and there is regular interaction to form a whole. Capacity development efforts need to address challenges at various levels in the community, as well as externally.
Box 8.11. A Framework for Capacity Development.
The Caribbean Natural Resources Institute (CANARI) has developed a framework for capacity development that contains seven main elements that organizations should focus on, illustrating the breadth of capacity development beyond training:
● World view: vision and mission guiding capacity requirements;
● Culture: an organization’s distinctive climate and way of operating;
● Structure: roles, functions, positions, supervision, reporting, etc.;
● Adaptive strategies: ways of responding to changing environments;
● Skills: knowledge, abilities and competencies for effective action;
● Material resources: technology, finance and equipment required;
● Linkages: relationships and networks for action and resource flows.
Source: Krishnarayan et al. (2002).
The system or enabling environment level includes two distinct but complementary capacity development activities. First, this level includes capacity development for the broader co-management programme and associated activities at the community level. This includes developing capacity to prepare for negotiation, developing a common vision, negotiating plans and agreements, organizational representation, conflict management, and monitoring and evaluation. Second, this level also includes capacity development at the community level to support advocacy and networking for the enabling environment for co-management including policy, legal, regulatory, management and resource dimensions. The focus of this level is on the government or public sector, but may also include private companies. It has a national or regional scale and is multi-sectoral. It is to provide a political voice so that economically and socially disadvantaged user groups and communities can be considered in decisions and processes that relate directly to the resource and the well-being of the group or community.
Capacity development at the organizationallevel, such as a community- based fisher organization, involves several dimensions, including:
● Mission and strategy;
● Culture/structure and competencies (organizational and management values, management style, standards, organizational structure, core competencies);
● Processes (functions such as communication, planning, office management, relationships with other organizations, report writing, meeting facilitation, consensus building, research/policy development, monitoring and evaluation, performance management, financial and human resources management);
● Human resources (relationships with staff, members, management, external groups);
● Financial resources (both operating and capital required for the organization, fund raising, self-financing mechanisms);
● Information resources (media, electronic and paper resources management to support the mission and strategies of the organization);
● Infrastructure (physical assets, computer systems, telecommunications, productive work environments);
● Conflict management.
A major part of capacity development is at the individual level. This includes both members and non-members of fisher and other co-management organizations, as well as other beneficiaries of the programme. This is the most critical level as it involves the individual’s capacity to function effectively and efficiently with the organization and, more broadly, with the co-management programme. Capacity development is designed according to the individual’s function and relationship to the organization and the co-management programme.
Horton (2002) states:
It is often assumed that developing individual capacities will automatically lead to improved organizational capacity and performance. This is not the case. For
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example, there are many cases where individuals have developed skills in participatory research, but very few cases where participatory research has become institutionalized in the standard operating procedures of research or development organizations.
8.4.2. Approaches to capacity development
Capacity development cannot be ‘done’ by outsiders. An external agent can promote or stimulate capacity development and provide information, training and other types of support. But an external agent should not attempt to lead an organization’s capacity development effort or take responsibility for it. The organization’s managers and members must set goals and make decisions.
Leadership must emerge from within the organization, and the organization’s members must do most of the required work. However, an organization can benefit from external expertise and advice. But ultimately, the organization’s own managers must be in the driver’s seat (Horton, 2002).
Capacity development involves the acquisition of new knowledge and its application in the pursuit of individual and organizational goals. For this reason, learning by doing, or experimental learning, lies at the heart of capacity development (Horton, 2002).
The main tools for capacity development include one or more of the following approaches:
● Information dissemination;
● Training to develop knowledge, skills and attitudes;
● Facilitation and mentoring by an external agent;
● Networking, with the exchange of information and experiences from other people working on similar tasks, as well as through workshops, networks and communities of practice;
● Feedback, in order to promote learning from experience within an organization.
The type and amount of capacity development will depend upon the organizations’ goals and the budget available for these activities. The provision of information or one-time training, while able to reach more individuals and organizations, seldom produces lasting changes in the participants’ behaviour.
Facilitation by an external agent is generally more effective, although it is more costly.
Capacity development is promoted by the following key factors:
● An external environment that is conducive to change;
● Top managers who are committed to provide leadership for change;
● A clear set of objectives and priorities;
● A critical mass of members involved in, and committed to, the change process;
● Awareness and understanding of the initiative;
● Open and transparent processes and decision-making;
● Adequate resources for developing capacities and implementing change;
● Adequate management of the capacity development process.
8.4.3. Strategic management
In planning and setting priorities for capacity development, there is a need to assess the factors that are limiting the organization’s performance and identify those capacities that constrain performance the most. An organizational assessment is often needed to determine performance and capacity constraints and opportunities for change. Most organizations should undertake strategic management. Strategic management can be defined as an approach whereby an organization defines its overall character and mission, its longer term objectives and goals, the product/service it will provide, and the means (strategy) by which this can be achieved. Strategic management should address all dimensions of capacity at all three levels – individual, organization, system or enabling environment. This approach allows an organization to establish the desired relationship with other organizations or stakeholders within the broader co-management programme in which it functions. This requires a full and ongoing assessment of the strengths, weaknesses, opportunities and threats (SWOT) both externally and internally (Box 8.12). This approach should be participatory and consultative. Capacity assessments can be carried out as ‘one off’ types of initiatives, or they can be carried out at any one or all stages of co- management programme. For example, an organization embarking on involvement in co-management may need to develop initial capacities to carry out planning and negotiation, and other capacities later as the co-management programme matures. In all cases, emphasis would be given to utilizing existing capacities and to developing new capacities only as they are needed (UNDP, 1998).
8.4.4. Evaluation
Evaluation of the capacity development effort can serve two purposes. The first is accountability to determine if objectives have been achieved and resources used appropriately. The second is that evaluations are carried out to learn lessons that can be used to improve ongoing and future capacity development efforts (Horton, 2002).
An important aspect of capacity development is determining how the initiative can be sustained and remain relevant by responding to change.
Sustainable change can be enhanced by:
● Involvement in decision-making;
● An atmosphere of mutual respect and trust;
● Building existing strengths and dimensions of capacity;
● Reward performance;
● Encourage new ideas and risk taking;
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● Continual capacity development;
● Supportive leadership.