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Defining the Capacity Building Concept

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 Defining the Capacity Building Concept.

Medani M. M. Ahmed.

Introduction.

This essay attempts to shed some light upon the term ‘capacity building’ by reviewing
some definitions offered by some organizations and scholars. As we will show in this
essay that arriving at a comprehensive and exhaustive and overarching definition is
not plausible as the term means different things to different people and organizations.
Again, a careful examination of the widely offered definitions in literature tells
unambiguously that ranking of the relevance and usefulness of the definition of the
term capacity building so much depends on- from- whose angle the definition is given
and for what purpose is going to be used. However, one can safely say that
theoretical strengths of the term ‘capacity building’ are generally associated with
academic definitions and empirical strengths are associated with donor
organizations’ definitions. Yet one agreed upon point is that for practical reasons the
term capacity building is surely a long term process, relevant for individuals, groups,
communities, organizations, institutions, sectors and nations. .It encompasses a wide
range of activities, measures and policies and strategies that aim at creating,
enhancing, strengthening, and transferring human and technical skills, know-how,
do-how and knowledge to individuals , communities , sectors, organizations,
institutions and nations from capacities’ owners and developers at the same levels
and /or different levels in a specific country or from other countries and institutions
and organizations.

Some Definitions.

At the outset it is important to mention that the term “Capacity Building” means
different things for different people and organizations. Despite this difficulty of
arriving at an accurate and definitive definition of the term ‘capacity building’, it is
imperative to try one. The definition of the term becomes the first step in analyzing
lessons learned about its effectiveness. The objective of this essay is to survey some
of the main definitions of the term ‘capacity building’ as defined by a number of
organizations and scholars and to show its inter-linkages with development and its
organizational and institutional dimensions.

Let us start with some simple definitions designed by a number of organizations.

 The concept of capacity building is defined by Wikipedia, the free online

encyclopedia, to specifically refer to assistance which is provided to entities,
especially societies in the Less Developed Countries [LDCs], which have a
need to develop a certain skill or competence, or it refers generally to
upgrading of performance ability. The general consensus is that in these LDCS
capacity is mostly built by societies themselves, either in the public, or
sometimes in the private sector or NGOs. It is also mentioned that many

Medani M.Ahmed 1
University of Khartoum
 international organizations, often of the United Nations organizations have
provided Capacity Building to beneficiaries as a part of their programs of
technical cooperation .Likewise donor countries through bilateral aid funded
entities and private sector consulting firms. Also foreign NGOs have also
offered capacity building services to governments, private sector or to local
NGOs.
 On the other hand, Capacity Building is, however, not limited to international
aid work. More recently, capacity building is being used by government to
transform community and industry approaches to social and environmental
problems1.
 UNDP has the lead in developing the concept of capacity building and started
by offering guidance to its staff and governments on institution building in
areas such as civil aviation, meteorology, agriculture, health, and nutrition
.The aim was to increase their efficiency and productivity in doing things and
achieving objectives. As a result all UN specialized agencies became active in
support of capacity building in the areas of their specialization, e.g. FAO for
the rural sector and agriculture, WHO for health etc, but they achieved mixed
results2.
 In 1991UNDP developed fully and defined the term 'capacity building'. The
UNDP defined it ' as the creation of an enabling environment with
appropriate policy and legal frameworks, institutional development, including
community participation (of women in particular), human resources
development and strengthening of managerial systems”, and the UNDP
further “recognizes that capacity building is a long-term, continuing process,
in which all stakeholders participate (ministries, local authorities, non-
governmental organizations and water user groups, professional associations,
academics and others”.3.
 In 1998 the UN General Assembly had attempted to assess and evaluate the
impact of the UN system's support for capacity building. The main aim was to
have a learned view on the UN organization efforts to provide Capacity
Building to member countries and to provide overall guidance of all UN
system development activities4.
 The UNCED defined the term Capacity building as follows::
“Capacity building encompasses the country’s human, scientific, technological,
organizational, institutional and resource capabilities. A fundamental goal of
capacity building is to enhance the ability to evaluate and address the crucial
questions related to policy choices and modes of implementation among
development options, based on an understanding of environment potentials and
limits and of needs perceived by the people of the country concerned" 5.
 In 1991, UNDP and the International Institute for Hydraulic and
Environmental Engineering organized the symposium 'A Strategy for Water
Sector Capacity Building' in Delft, The Netherlands. Delegates from
developing countries, ESAs and supporting institutes defined 'capacity
building' to include the following points:

1
ٍSee the Internet Site : http://en.wikipedia.org/wiki/Capacity_building
2
3
Ibid.
4
Ibid.
5
Capacity Building - Agenda 21’s definition (Chapter 37, UNCED, 1992.
UNDP DEFINITION: http://www.gdrc.org/uem/capacity-define.html

Medani M.Ahmed 2
University of Khartoum
 1. The creation of an enabling environment with appropriate policy and
legal frameworks;
2. Institutional development, including community participation (of
women in particular); human resources development and strengthening
of managerial systems.

UNDP6 recognizes that capacity building is a long-term, continuing process, in which

all stakeholders participate (ministries, local authorities, non-governmental
organizations and water user groups, professional associations, academics and others).
Capacity Building is much more than training and includes the following :

 Human resource development, the process of equipping

individuals with the understanding, skills and access to
information, knowledge and training that enables them to
perform effectively.
 Organizational development, the elaboration of management
structures, processes and procedures, not only within
organizations but also the management of relationships
between the different organizations and sectors (public, private
and community).
 Institutional and legal framework development, making legal
and regulatory changes to enable organizations, institutions and
agencies at all levels and in all sectors to enhance their
capacities.

The Need for Capacity Building .

The need for capacity building worldwide is enormous ,and especially in Less
Developed Countries[LDCs] , is critical and extremely urgent to fill in gaps and
human and technical deficiencies and to supply critically needed expertise , training,
know-how and do-how. Let us just mention some few deficiencies in these countries:
 The link between needs [all sorts of needs, material and services]and supply[
the technical and material capacities to produce , distribute good and services
and meet the services delivery needs of the people and economy] is weak.
 The systems of identifying and determining human and technical needs are
deficient, lacking, inadequate or non-existent.
 The infrastructure, organizations and institutions for production, distribution
and dissemination of knowledge and know-how and do-how are either
completely lacking, inadequate, inefficient, and or badly managed and/ or
directed.
 There are much financial incapacity, inadequacy of funding and lack of
realistic funding due to financial rigidity, underdeveloped financial institutions
and lack of access to funding. Besides there are also complex marketing,
transport and communications difficulties that sharpened the deficiencies in
various technical and human capacities in LDCs and need to be solved .
 There is need for support for change. There are many historical, social and
institutional barriers to change and to the easy and efficient introduction of

6
Ibid.

Medani M.Ahmed 3
University of Khartoum
 modern technologies, methods and know-how in LDCs that should be
overcome mitigated.
 Training institutions are lacking, or poorly equipped, or inefficient and / or
some times irrelevant to the needs of the economy and people. In most cases
when they exist, they are isolated as communications are poor.
 Development of teaching materials is inefficient due to incapacities to author
them, create, publish, and disseminate them.
 Alternative ways of capacity building are not adequately recognized.
The Capacity Building Beneficiaries.

The needs for capacity building are always changing. There are no ready solutions,
and any Programme must be appropriate for the local situation and organization.

 Local government, communities and NGOs are the main clients, but central
government and the private commercial sector also need support. Community
groups, often with strong NGO support, need to improve their capacity to
plan, organize and manage their neighborhoods. Departments of local
government play an increasingly important role in enabling community groups
to enhance their capacities and effectiveness.

The Human and Educational Dimension of Capacity Building.

The capacity building term has strong connections with human and educational
aspects of people’s life since by definition the term human resource development (and
the process) has education, both formal and non-formal, at its core.

 In its broadest interpretation, capacity building encompasses human resource

development (HRD) as an essential part of development. It is based on the
concept that education and training lie at the heart of development efforts and
that without HRD most development interventions will be ineffective. It
focuses on a series of actions directed at helping participants in the
development process to increase their knowledge, skills and understandings
and to develop the attitudes needed to bring about the desired developmental
change.

 Another essential mechanism for capacity building is partnership

development. Partnerships give a local NGO access to: knowledge and skills;
innovative and proven methodologies; networking and funding opportunities;
replicable models for addressing community needs and managing resources;
options for organizational management and governance; and strategies for
advocacy, government relations and public outreach7.

7
Ibid.

Medani M.Ahmed 4
University of Khartoum
The Human and Organizational Dimension of the Capacity Building.

The concept of the capacity building in addition to the human dimension it has also
organizational dimensions. These dimensions are outlined clearly by the WCO8.

The WCO defines capacity building as "activities which strengthen the knowledge,
abilities, skills and behavior of individuals and improve institutional structures and
processes such that the organization can efficiently meet its mission and goals in a
sustainable way."9 Capacity Building, besides training, includes the following:

 Human capital development, the process of equipping individuals with the

understanding, skills and access to information, knowledge and training that
enables them to perform effectively.
 Organizational development, the elaboration of management structures,
processes and procedures, not only within organizations but also the
management of relationships between the different organizations and sectors
(public, private and community).
 Institutional and legal framework development, making legal and regulatory
changes to enable organizations, institutions and agencies at all levels and in
all sectors to enhance their capacities10

It is important to mention that the two last points mentioned above which relate
directly to the concept of Capacity Building also interfaces with the work by the 1994
Nobel Prize winner Douglass North and his colleagues in the New Institutional
Economics Association . It attempts to outline and explain the essential organizational
and institutional prerequisites for economic and social progress11.

Also Philbin defines the term Capacity building as the "process of developing and
strengthening the skills, instincts, abilities, processes and resources that organizations
and communities need to survive, adapt, and thrive in the fast-changing world."12

The implication of the capacity Building definition is that it refers to combination of

the elements that give fluidity, flexibility and functionality of a program/organization
to adapt to changing needs of the population that is served 13.

8
World Customs Organization is n international organizations helps in matters concerning customs and
helps countries cooperate among themselves on issues pertaining to customs. It was created in 1952
and then had its present name in 1994.

9
http://www.un.org/esa/coordination/Capacity_Building_supported_by_the_UN.pdf and
http://www.un.org/esa/coordination/Capacity_Building_for_Poverty_Eradication.pdf

10
See the Website http//www.gdrc.org/ of the urban capacity Building network.

11
See the paper by North, Wallis and Weingast, “A conceptual framework for interpreting recorded
human history”, NBER working paper 12795, published in the website: www.nber.org/papers/w12795.

12
Ann Philbin, “Capacity Building in Social Justice Organizations”, Ford Foundation, 1996.

13
For more readings about the concept of capacity building please refer to the website
http://www.tcwf.org/pub_reflections/2001/april/pages/definition_of_capacity_building.htm

Medani M.Ahmed 5
University of Khartoum
Capacity Building of the Non-profit organizations.

Another dimension in the development of the concept of Capacity Building has been
made by nonprofits and management support organizations (funders, associations,
training centers, consultants, etc.) that provide services to nonprofits.

One major definition of Capacity Building by these organizations is "actions that

improve nonprofit effectiveness" and also as actions that enhance a nonprofit
efficiency and ability of the organization to work towards its mission14.

It is to be recalled that the concept of Capacity Building in nonprofit-organizations is

similar to the concept of organizational development, organizational effectiveness
and/or organizational performance management in for-profits. Capacity building
efforts for donor organizations can include wide broad range activities, “e.g., granting
operating funds, granting management development funds, providing training and
development sessions, providing coaching, supporting collaboration with other
nonprofits, etc”15.

TCWF16 defined narrowly the term capacity building to just mean ‘technical
assistance’, designed to address some few activities of an organization. Over time
with more accumulated experience the definition was considerably broadened.

Capacity building is defined as the development of an organization’s core skills and

capabilities, such as leadership, management, finance and fundraising, programs and
evaluation, in order to build the organization’s effectiveness and sustainability.

14
See the essay written by Carter McNamara, of the , Authenticity Consulting, LLC,2007, in the
Website: http://www.managementhelp.org/org_perf/capacity.htm

15
Ibid. Also see the list of the major functions typically carried out in nonprofit organizations which
include the following items:

Preparation for Planning a Business Venture

How to start nonprofit venture (everything you need to know to start a nonprofit)
Complete Free Toolkit for Boards
Role of Chief Executive
How to conduct nonprofit business planning (guidelines and samples)
How to conduct strategic planning (guidelines and samples)
Basic Guide to Program Design and Marketing (complete guidelines)
Advertising and Promotions (basics, guidelines and samples)
All About Marketing (basics, research, pricing, promoting, etc.
All About Sales (basics and advanced information)
Public and media relations (basics and advanced information)
Nonprofit Fundraising and Grant writing
Free Online Guide to Staffing
Volunteer Management
Basic Guide to Managing Nonprofit Finances
Basic Guide to Program Evaluation

16
See the California Wellness foundation website at :
http://www.tcwf.org/pub_reflections/2001/april/pages/definition_of_capacity_building.htm

Medani M.Ahmed 6
University of Khartoum
 It is the process of assisting an individual or group to identify and address issues and
gain the insights, knowledge and experience needed to solve problems and implement
change.

Within this context, capacity building is facilitated through the provision of technical
support activities, including coaching, training, specific technical assistance and
resource networking17.

In addition to “capacity building,” many donor and organizations and the

abovementioned foundation have used the terms “technical assistance” (TA) and
“technical support” (TS). These terms describe the activities of the TS grantees and
other providers selected or coordinated by them. TA refers to specific types of site-
specific assistance and problem solving (e.g., computer hardware and software
installation and support). TS encompass TA and all forms of education and skill
building, including initiative-specific training and more general organizational
development.
Cultural Capacity Building.
Capacity building culturally is defined as follows: "Culturally competent capacity
building is a community-centered process that begins with an understanding of
historical realities and an appreciation of the community's assets in its own cultural
context. The process works to enhance the quality of life, create equal access to
resources, and promote community partnerships resulting in strategic and progressive
social change"18.
This definition is distinctive based on its emphasis on a number of important factors:
history, culture, traditions, ideology, belief systems, indigenous knowledge of the
people and the environment, polity, and economic contest in these things have
evolved overtime. It addresses the impact of these factors on communities and traces
the trends and directions of changes and also reflects on progress and sharing of its
fruits by all people especially the disadvantaged, and attempts to achieve equity
among all people.
Within this context, capacity building also is defined within the context of dynamic
and changing world to mean a process of adaptation and survival mechanism by
world communities which have developed their own unique institutions and
organizations in the areas of culture, ideology, belief, traditions, local know-how and
do-how, environment and sustain these systems over time.

The definition states that: "Capacity building is the process of developing and
strengthening the skills, instincts, abilities, processes and resources that organizations
and communities need to survive, adapt and thrive in the fast changing world of the
late 20th and early 21st centuries. The term is commonly used to refer to a wide array
of measures that organizations take to strengthen their ability to operate effectively
over the long term"19.

Cultural Competency and Cultural Capacity Building.

17
ibid.
18
http://www.allianceonline.org/cci.ipage/cci_definitions.page

11 http://www.allianceonline.org/cci.ipage/cci_definitions.page

Medani M.Ahmed 7
University of Khartoum
The term cultural competency is related to the cultural capacity building as it
emphasizes the acquiring of skills, attributes and behaviors. Cultural Competency is
defined as "a set of behaviors attributes and policies enabling an agency (or
individual) to work effectively in cross cultural situations." The definition of Cultural
Competency refers to the following three guiding principles: I) Commitment, II)
Accessibility, III) Relevance 20.

The Capacity Development Concept.

It is important to reiterate again the term capacity building has both individual
sectoral and national dimensions. "Building capacity involves developing the
necessary individual and group perspectives, skills and organization to carry out
activities. They include the knowledge, skills, technologies and institutions needed to
conduct assessments, monitoring and evaluation, planning and implementation"21.

On the other hand, capacity development is a central part of sustainable development.

As a concept, capacity development has evolved over time but even now there is not
an agreed-upon definition. While in some specific sectors progress has been made in
encouraging the development of national capacity in many countries there is still
much that can be done to promote strong, capable institutions—both within these
specific sectors and beyond22.

Capacity development is an elastic term and it is one of those topics that changes
shape and form depending on one's perspective. And yet it is important that people in
different activities and specialization should have a clear understanding of it but also,
by understanding its interdisciplinariness, derive a common approach to dealing with
it.

It is difficult enough to define specific things and processes within the multi-
functional environment that makes up the realm of the activity.

Ironically, capacity development is a widely used but not widely understood or

agreed-upon term. It is treated as both a process and outcome, and it deals with both
material applications (e.g., specific skills, knowledge, tasks) and human resources
(e.g., ability, process, addressing the system within its environmental context).

20
Cultural Competency includes, but is not limited to: Race/ethnicity, Age or generation, Language,
Religion /spirituality, Political viewpoint, Legal status, Socio-economic status, Gender identity, Sexual
orientation, Disability, Geographic base. See the website:
http://www.allianceonline.org/cci.ipage/cci_definitions.page

21
ttp://europeandcis.undp.org/WaterWiki/index.php/Capacity_building. Also see the website
http://www.managementhelp.org/org_perf/capacity.htm

22
See Dennis Barlow and Daniele Ressler [ Mine Action Information Center ] essay in the website :
http://maic.jmu.edu/Journal/11.1/editorials/barlow/barlow.htm

Medani M.Ahmed 8
University of Khartoum
For instance, the Organization for Economic Co-operation and Development defines
the Capacity Development term as "the process whereby people, organizations and
society as a whole unleash, strengthen, create, adapt and maintain capacity over
time."23 While descriptive, this concept is operationally too general to guide
programs, standards and contracts.

The UNDP defines capacity as "the ability of individuals, organizations and societies
to perform functions, solve problems, and set and achieve goals," and that "capacity
development entails the sustainable creation, utilization and retention of that
capacity, in order to reduce poverty, enhances self-reliance, and improves people's
lives."24

Barakat and Chard, in Third World Quarterly, conclude that a review of the use of the
term capacity gives the impression of "constantly shifting, unclear and contested
definitions," and has "added to the confusion by masking contradictory aims under
the banner of a common rhetoric."25

The most recent change in terminology from capacity building to capacity

development has reflected this shift to national ownership; rather than understanding
capacity as "constructed" via externally derived models, it has been recognized that
"capacity building would be ineffective so long as it was not part of an endogenous
process of change, getting its main impulse from within." 26

However, many of the efforts involved in capacity development in LDCs remain

confined to specific project for which transfer of technical skills was the main
objective, without trying to relate and integrate those capabilities into other sectors
and projects of these countries’ development or infrastructure. The real challenge for
these countries has been to maximize the use of the transferred technical know how in
terms of raising productivity and production and to strengthen linkage with other
sectors and benefit from the induced externalities .The real sign of success of the
transferring technical and human capacities is through and by fitting the capabilities
developed for specific projects and sectors to apply to other spheres of life .

Liebler and Ferri observe in a report for the United States Agency for International
Development that "much of capacity building has been designed around specific
projects that nongovernmental organizations are funded to implement with or for
their international partners and donors. This 'project-focused capacity building'
stresses the building of capacities that will help protect the investment made (such as

23
Ibid.
24
Ibid.

25
Barakat, S. and M. Chard. "Theories, Rhetoric and Practice: Recovering the Capacities of War-torn
Societies." Third World Quarterly, 2002, vol. 23, no. 5, p. 817–835.

26
Liebler, C. and M. Ferri. NGO Networks: Building Capacity in a Changing World. United States
Agency for International Development. A study supported by the Bureau for Democracy, Conflict and
Humanitarian Assistance, Office of Private and Voluntary Cooperation. November 2004.
http://www.usaid.gov/our_work/cross-
cutting_programs/private_voluntary_cooperation/conf_leibler.pdf. Accessed 29 March 2007.

Medani M.Ahmed 9
University of Khartoum
financial management), support the requirements of donors (such as monitoring and
reporting) or help complete the project successfully (such as competencies in project
planning and evaluation)."27

Conclusion.

This essay has attempted to shed some light upon the term capacity building by
reviewing some definitions offered by some organizations and scholars. It is clear that
a comprehensive and definitive and a watertight definition is not plausible as the term
means different things to different people and organizations. Ranking, relevance and
usefulness of a definition of the term capacity building so much depends from whose
angle the definition is given and for what purpose is going to be used. Theoretical
strengths of the term are associated with academic definitions and empirical strengths
are associated with donor organizations’ definitions. However, for all practical
reasons the term capacity building is a long term process, relevant for individuals,
groups, communities, organizations, institutions, sectors and nations .It encompasses
a wide range of activities, measures and policies and strategies that aim at creating,
enhancing, strengthening, and transferring human and technical skills, know-how,
do-how and knowledge to individuals , communities , sectors, organizations,
institutions and nations from capacities’ owners and developers at the same levels
and /or different levels in a specific country or from other countries and institutions
and organizations.

References

1. Barakat, S. and M. Chard. "Theories, Rhetoric and Practice: Recovering the

Capacities of War-torn Societies." Third World Quarterly, 2002, vol. 23, no.
5, p. 817–835.
2. Barnes, Nancy and Abdel-karim Asa'd, "Jerusalem Water Undertaking - A
Challenging Experience in Organization Development - A Guidebook", 2003,
in the website: http://www.jwu.org/guide/english/start_en.htm
3. Liebler, C. and M. Ferri. NGO Networks: Building Capacity in a Changing
World. United States Agency for International Development. A study
supported by the Bureau for Democracy, Conflict and Humanitarian
Assistance, Office of Private and Voluntary Cooperation.,November,2004. See
the website:http://www.usaid.gov/our_work/cross-
cutting_programs/private_voluntary_cooperation/conf_leibler.pdf. Accessed
29 March 2007.
4. OECD, “The Challenge of Capacity Development: Working Towards Good
Practice”. Organization for Economic Co-operation and Development, 2006,
in the website: http://www.oecd.org/dataoecd/4/36/36326495.pdf.

27
http://www.usaid.gov/our_work/cross-
cutting_programs/private_voluntary_cooperation/conf_leibler.pdf. Accessed 29 March 2007.

Medani M.Ahmed 11
University of Khartoum
 5. Peizer, Jonathan, The Dynamics of Technology for Social Change,
Understanding the Factors that Influence Results: Lessons Learned from the
Field, 2005. - ISBN 0-595-37274-0. See the website: http//technology for
socialchange.org
6. UND, "Capacity Development." Published in the website:
http://www.capacity.undp.org. Accessed 29 March 2007.
7. Sims, J. "James Madison University's Mine Awareness Program (MAP) in
Quang Tri Province." Journal of Mine Action. Fall 2000, Issue 4.3, p. 50–53.
http://maic.jmu.edu/journal/4.3/focus/JMUMA/jmuma.htm. Accessed 10 April
2007.

Medani M.Ahmed 11
University of Khartoum

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