Part IV - strengthening the backbone

If I’m so unhappy with the EC’s approach to institution building in kleptocratic countries, how would I improve it?"
The first steps in any such change are, of course, to assess the situation – describe how the systems works and assess how well it works – and then find out what the various stakeholders think.

The 2007 European Court of Auditors' assessment of the EC Technical Cooperation programme was a good start. It spurred the Commission to produce its "Backbone strategy" which my present draft to the NISPAcee Conference in Varna currently assesses here .

Given the bureaucratic constraints on policy change (particularly given the upheavals involved in creating the External Service), it is hardly surprising that the Backbone strategy says that the strategy is OK and that it is the staff of the 81 EC Delegations which manage it who need to wise up.

These staff are well trained in procurement issues - but not so knowledgable about the substance of the sectoral work they manage; nor particularly skilled in contractual management. The EC has been publishing Manuals and Guidelines for its Delegation staff in recent years to help them understand the conceptual issues involved in institution building - see this one on capacity development in 2009.

Basically the Delegations are enjoined to -
- get better ToR
- select consultants more carefully
- allow them more flexibility

Easier said than done? And still they hardly mention the people who actually do the work - the independent consultants like myself. Strange!

The European Centre for Policy Development Management in Brussels published in 2007 one of the very few papers I know which focuses on the people actually carrying out TA – and asks how their work can be supported and improved

For more on the Court of Auditors' Report - and the EC response, see tomorrow's post


My recent visit to Sofia set off a paean of praise to that city which should be extended to the whole country – at least as far as its landscapes and townscapes are concerned. And, compared to Romania, it is possible to travel around the country and taste this varied scenery in superb ethnic houses remarkably cheaply. In 2007 I discovered by accident a small book on these places produced by the Bulgarian Association for Alternative Tourism – and was very pleased to come across the 2010 version on my last trip.

The Guardian has a good story about some fundamental changes the Conservatives want to make to public services in Britain which were never mentioned in the manifesto. Democracy is in shambles in that country. The previous government commissioned a paper on this issue to a fairly right-wing body which failed to produce convincing evidence of the benefits of further contracting out of public services. See also here an article about the likely effect on the health service.

The painting is Stanley Spencer's wartime "Welders"

Guest post from Robert Chambers

I've just come across a post by Robert Chambers which is highly relevant to my attack on the logframe.

In my 1997 book Whose Reality Counts I presented two alternative paradigms - as I then understood them – which contrasted things with people, as shown in the table below

.
Things People

mode; blueprint - process
Goals; pre-set, closed - open, evolving
assumptions; reductionist - holistic
technology; table d'hote - a la carte
interaction
with locals; instructing - enabling
locals seen
as; beneficiaries - partners
force-flow; supply-push - demand-pull

The ‘things–people’ distinction is useful for identifying and understanding relationships between many phenomena and for diagnosing problems. It points up the contrasts between disciplinary and professional orientations: the things paradigm is more associated with engineering and economics, the people paradigm more with anthropology and sociology. And the contrasts in the two columns indicate differences which are evident in much practice. At the same time, there are many cross-overs and cross-applications.
One key difference is that the things paradigm works in contexts (including human contexts) in which inputs and receiving environments are relatively uniform and controlled, and there is clear causality leading to desired outcomes.

Because of this narrow applicability, many of the errors and failures of development policy and practice have stemmed from the dominance of the things paradigm. This dominance goes back at least to the Marshall Plan, to the creation of the International Bank for Reconstruction and Development, to development projects in the 1950s and 1960s devoted to infrastructure such as harbours, railways, roads, communications, dams and irrigation projects, and to the idea that Third World countries had to catch up with capital investment in ‘infant industries’. These all gave primacy to things over people.
Engineers and economists were in charge. It was they who set norms and procedures. For the infrastructure projects of the time, these largely made sense. But the things paradigm was then embedded in the values, culture, hierarchies and staffing of the World Bank and of bilateral and other organisations.

Non-economist social scientists were few, of low status, and regarded at best as useful to call in to deal with any ‘people problem’ in implementation once the planning had been done. So top-down, standardised approaches and methods came to be imposed on diverse, uncontrollable and unpredictable people and conditions, often with bad results.
There followed a long and continuing struggle for a better balance that put people first, with their participation from the start and throughout in projects and programmes. There were calls for a new professionalism to shift the balance, effectively from things more towards people. There was progress. For many reasons the balance did indeed shift.
Some attempts to introduce top down routinized procedures were abandoned. Participation and empowerment became part of the rhetoric even if less often of the reality of development. Local people were much less regarded as a residual. People living in poverty, women, children, those who were vulnerable, marginalised and socially subordinate, were given more priority. Though there remained far to go, their knowledge, aspirations, capabilities and priorities were better recognised and brought more into development processes. Especially in the 1990s, the centre of gravity of the balance between things and people began to shift towards people.

But the 2000s brought reversals. ‘Things’-related procedures were increasingly imposed on processes and people. In much development practice, problems were aggravated by the way linear logic, assumptions of predictability, objectively verifiable indicators, impact assessments, logframes and results-based management were more and more required by donors and lenders. More and more the assumption took hold that ‘we know what to do’ and all development required was more money. Good practice and performance, so often dependent on intangible personal and inter-personal unmeasurables like commitment, honesty, energy and trust, were undermined and sapped by the spreading culture in much development of targets, indicators and measurement, and the implicit and even explicit orientation of ‘If it can’t be measured, it won’t happen’.
‘Rigorous’ impact assessment was increasingly demanded. The so-called gold standard for this became randomised control trials (RCTs). These can make sense for medical research where there are many highly standardised units (people and their bodies) and inputs (immunisations, medicines, treatments) but misfit the realities of the complexity of social and much other change, with their uncontrolled conditions, multiple treatments, multiple and indeterminate causation, and unpredictable emergence .
In such contexts, RCTs are liable to postpone and limit learning, and to be costly, slow and inconclusive. Another contested manifestation of this control orientation has been the logframe. Thought by many in the late 1990s to fit realities and programme and project needs so badly and to have so many defects that it would die a natural death, the logframe has to the contrary flourished and spread to become a methodological monoculture in donor requirements.

So in the name of rigour and accountability what fits and works better in the controllable, predictable, standardised and measurable conditions of the things and procedures paradigm has been increasingly applied to the uncontrollable, unpredictable, diverse and less measurable paradigm of people and processes.
The misfit is little perceived by those furthest from field realities and with most power. But then all power deceives. Aid recipients do not tell donors what they experience. They think about future funding. Because funds and power are involved, these tightening and constraining shifts pass largely unremarked and unchallenged.

And what can be called ‘things procedures’ like the logframe are convenient for understaffed donors: they transfer transaction costs and any blame to those whom they fund. Recipients of aid funds are like frogs in the proverbial slowly heating pot and they adapt; but more than the frogs, they increasingly feel the pain. They do less and do it less well. They would like to jump out but fear for their survival if they did.
In my next post, subtitled Expanding Paradigms, I examine the limitations of this simple binary opposition of things and people. Shifts in technology and advances in the complexity sciences are starting to transform these paradigms, helping bring nuance to and even transcend these longstanding divides.

For the second part of his post see here

Fighting the logframe - part III

There is, perhaps, a certain arrogance in the argument underlying my position about Technical Assistance – and the last few posts. My basic objection is to the rigidity of project “Terms of Reference”. But let’s look at it from the EU point of view – they have a complex procurement system which starts with a strategic plan for a country – which is a statement of priorities and the result of a negotiation with the beneficiary country.
An independent expert then drafts a detailed project specification setting out an intervention logic and the activities which need to be carried out – which is discussed with and approved by the beneficiary (stage 2).
Someone else (in the winning contractor’s company) drafts a methodology around this – which is scored by a team of evaluators (generally including the beneficiary.
And then someone like me comes along (at stage 4) and says “this is all a lot of nonsense, we’re going to do something different”.
I got away with this in Azerbaijan partly because the ToR were loosely written; partly because the project was blocked and it seemed sensible to work with more cooperative people in other parts of the system; and partly because of the trust there was between myself and a Brussels desk-officer. And I got away with it in Kyrgyzstan because the overthrowal of a President patently creates a new situation requiring some creative policy jumps.
Am I seriously arguing that this flexibility should be the norm?

Well, yes I am - at least for projects in countries which are not in the accession queue.
I realise that the EU system is worried that such flexibility would leave it open to legal challenges from the losing contractors – nothing is so heinous in such procurement systems as subsequent departures from the advertised specifications. But this just shows the nonsense of the “commodification of the intellect” which is embodied in the EU system of procuring services. An earlier post identified the drafting of project Terms of reference as a gaping black hole – nothing is known publicly about the skills and background of those who carry it out. I’ve done it a couple of times – a long time ago. And, naturally, have no idea whether it was well done or not (this would have required some conversations with those who drafted bids around it as well as those who tried to implement the project).
All I know is that project Terms of Reference are treated as a bible by those in the companies who draft the bids for the subsequent competition – the rules of competition require this. Like has to be compared with like!
Of course, there is an opportunity for the new Team Leader to suggest some changes during the Inception stage (the first few weeks) – but, if this is the first time in the country, this requires some arrogance. And also a lot of paperwork! So the specification of the independent expert drafted some 18-24 months earlier is the key – but what model of change did they use? After how long in the country? And with what sort of dialectic with the European Delegation?
And why the ridiculous pretence about rationality embodied in the logframe? This is fine for the construction of buildings - but administrative reform is a completely differemt process

Success in spite of the logframe - Part II

I'm revisiting some of my projects - trying to show how the successes came in spite of rather than because of the project management system the EU uses.


In February 2005 I arrived in Bishkek, Kyrgyzstan to start an 18 month project working with a Minister (without Portfolio) to develop the local government system. We actually had three offices – one in the capital and 2 in our 2 pilot Oblasts – and our job was to a mixture of policy advice and training. It also required us to produce a Roadmap for the development of local government (although there was already a decentralisation strategy). Just as I was finishing the Inception Report, I had to flee the country because of unrest which swept the President from power. I returned after a week to a bit of a political vacuum – but the municipalities were still there so we proceeded with the initial needs assessment which we did through focus group discussions.
I had a basic question – we were a short project in a field where there were already 2-3 donors (eg UNDP; Urban Institute) who had carved out an important role over the past 5 years and more. What, I wondered, was the distinctive contribution our small and brief project could make? The project design did not seem to have considered this question.
The first answer was that, unlike the other donors, we had a base in the field – 2 local offices – which gave us some special insights into the needs of remote village municipalities. Our intensive focus group sessions (see para 6 of this paper) and the drafting of the Roadmap also helped keep our minds constantly open to new ideas – and made me realise that one of our potential roles was to help ensure that the voice of remote people was heard in the capital. I got a bit angry, for example, with all the talk there about the “lack of municipal capacity” – and therefore wrote a whole new 100 page document on the issue of capacity development, turning the argument into one which rather questioned central commitment and capacity How do people measure municipal capacity? I asked and then suggested

that question can strictly be answered only in relation to the delegated tasks – since patently municipalities do not currently have the resources or the personnel to begin to perform “affairs of local significance”. And state bodies may therefore seem to be in the best position to answer the question since they delegate so many of their tasks to municipalities - for example the task of collecting national taxes . But it is hardly fair to give an organisation tasks it doesn’t want and for which it is not paid - and then blame it when it doesn’t carry them out “properly” (in the view of state bodies)! We argue later that the capacity of an organisation is built as it has the opportunity to take decisions for itself and learns from doing. It is exactly the same process as good parenting. Of course inexperienced young people will make mistakes – but it is the job of responsible parents who care about their children to create the conditions in which their children learn for themselves – at minimal cost to themselves and others. And some of the qualities therefore needed in those purporting to offer support to local government are care and compassion.

We held 70 workshops for the municipalities – with 1,500 participants. Motivation and appreciation was very high (the photo is a session in Atbashy). Early on in the project’s life, however, we took the view that training activities were transient events and that we should attempt to encourage a local learning capacity. Training is sustainable only if we work with motivated people – if they can then apply what they have learned and have follow-up. Initially we wanted to focus on target groups (eg newly-elected municipal Heads) but the elections took place in December 2005 and events meant that we were unable to start that particular work until May 2006, a few months from the scheduled end of the project (although I got a 6 month extension). We therefore started to focus on the entire (village) municipality – and in April 2006 experimented with a new more holistic approach to training
• A practising and successful German mayor carrying out interviews the day before the workshop with both municipal people and community activists
• His then making an initial presentation at the workshop to all staff, councillors and activists about the issues which had emerged from those interviews – and some examples about how these issues had been dealt with in other places
• Participants then going into working groups to develop options
• The full group then assessing which options to develop
• The project then organised regular follow-up, monitoring visits

This proved to be a very successful formula – with its focus on practical problems; encouraging people to work together on them; giving examples of where and how successful initiatives had been taken; and following up with regular visits to discuss progress. The spirit this created contrasts with that which often accompanies traditional training courses. The project’s Developing Municipal Capacity publication identified 10 factors which made it difficult to practice traditional training – and offers a typology of learning.
We did not initially understand the significance of the concept of a Roadmap – and it is one also which our beneficiaries also had some initial problems with. But, as we explain in the introduction to the readers of the document,

“A road map does not suggest a route – YOU choose the route. A roadmap simply locates the key features (mountains, rivers and swamps) you need to be aware of when trying to travel from the A to the B of your choice. So this is not an attempt to force foreign models on the local situation. Another point about a road map is that it cannot cover every changing detail nor tell you how you should approach certain situations – sometimes a large bump in the road or impatience can have fatal consequences. So a road map is only a guide - local knowledge, judgment and skills are needed to get you to your destination! And, like a map, you don’t have to read it all – only the sections which are relevant for your journey!”

The Roadmap contains powerful insights into the difficulties being experienced by the country in policy implementation.
To be continued

Succeeding in spite of the system - Part I

My latest paper paints a dark picture of the world of Technical Assistance in ex-communist countries where I have worked for the past 20 years. In fact there are some bright splashes (successes) – but, as the Morgan quote in yesterday’s post suggests, they have been despite rather than because of the rules of the game. And, before I explore the question of a better system for this work, I need perhaps to say something about the positive experiences I have had in my various projects – and how these came about.
Frankly, it took some time for me to adjust to the role of adviser or „expert” – and it was just as well that everyone was learning in the 1990s about how systems in these countries could best be transformed. I was better in the early years at analysis (setting out the reality of CzechoSlovak and Romanian local government in the early 1990s) and ad-hoc advice than at institution-building – which only really started in the mid 1990s with the work setting up 2 Regional Development Agencies in North-East Hungary where they seemed pretty capable without my input and where indeed one of my counterparts, reporting on the results of his study visit, memorably said „I learned that I have nothing to learn”! My first experience of leading a major project at a national level was in Uzbekistan between 1999 and 2002 – where they were more interested in techniques for career development and EU experience of local government than change per se. So it was a good opportunity for me to read up on these subjects - as is evident on this paper I gave them on EU experience of transfer of functions.

Azerbaijan 2003-2004 was, however, my first real consultancy – and success. I was supposed to work with the Presidential Office on the implementation of a Civil Service Law which the international community had saddled then with. They didn’t know what to do with it (Ministers appointed family and friends) – and the World Bank (and a previous Team Leader) had given up. Noone seemed very interested in challenging the kleptocracy. Painstakingly I set out the various steps needed to make a reality of the Law - building on a confidential document I had found about the need for change. The old President died - and his son took over. My office was in the Presidential Academy for Public Administration - next to the Presidential Office – and I decided to start working with some of it staff. Jointly with 2 of the staff we wrote the first books in the Azeri language on PAR, civil service reform and HRM - the spirit of which is captured here. And I started to do training sessions with public officials. None of this (books;training) was in the ToR. And slowly I got signals from the Presidential Office that I could and should go public with arguments for a more meritocratic systems of appointments – and this I did with interviews in newspapers and even an hour’s TV show. A few weeks after I had finished the project, a Presidential Decree established the Civil Service Agency along the lines my project had recommended – and the very day I arrived back in Baku in March 2005 to escape the Bishkek Revolution, the 40 year old lawyer I had worked with and was lunching with was called to the Presidential Office to be appointed Head (Minister) of the Agency! Six years on, it is going strong. A potential disaster was turned into a great success by doing things which were not in the project specification. In those days, there was no European Delegation - and my desk officer in Brussels was supportive!!
To be continued

Is there a better way?

At the beginning of the week I completed an updated version of the critique I have been making for some years about the EU’s Technical Assistance programmes in ex-communist countries. These have paid people like myself for the past 20 years to live in places like Baku, Beijing, Bishkek, Bucharest, Prague, Riga, Miskolc, Sofia and Tashkent; write reports; and organise training – all in the name of institutional development and better governance. Before I get to the sands of Varna in May, I need to sort out the basic question of whether there is in fact a better system for helping transition countries improve their public management than that currently on offer from the EU. But let’s cut to the chase with 3 basic questions –
• What is the EU system?
• What’s wrong with it?
• Is there a better way?

1. The elements of the system. The EU system of technical assistance to countries not yet members of the EU is based on principles of competition and project management. These govern the operation of two distinct programmes; one for private consultancies; the other (“twinning”) for state bodies. Don’t ask me how the split is made – I have never seen an EU paper which discusses this but I sense that twinning is more to do with the effective implementation of the legal norms of the European acquis than with institutional development per se.

1.1 Twinning with equivalent member state bodies. In principle “twinning” brings the promise of institutional rather than mere individual support – although, when the idea was first mooted in 1997 (when I was actually working in TAIEX), I for one was highly sceptical. My reservations were as follows –
• A good manager does not make a good adviser
• Public officials know only the system of one country
• A state body is highly unlikely to make its good people available – rather those it can afford to lose eg just about to retire

Basically a form is completed requesting twinning – which, after local assessment and approval, is circulated to EU member states whose bodies then make bids which are selected by the local European Delegations. A normal twinning will last 12-18 months – and will consist of a resident national adviser and study visits.

1.2 Consultants from private companies. National programmes are developed by countries – which set priorities for institutional development. Terms of Reference are developed by consultants and sent to a short list of 6-7 contractors which are selected by European delegations on the basis of “expressions of interest” they make and their suitability for the particular projects. Projects would typically consist of 2-3 foreign experts who would stay in the country for 18-24 months and have a budget for employing a mix of local and international experts; study visits and equipment. About 5 years ago, the life of the projects was supposed to be lengthened – but I have seen little sign of this.

2. What’s wrong with it?. It’s not easy to find assessments of either type of programme. I know of a couple of articles about the twinning experience - in 2002 and in 2007. I’ve written a fair amount about the private consultancy part of the business over the years – and suggested that the project design and procurement process is rather haphazard; that projects are too inflexible (arriving 2 years after need was first articulated); projects too short; and too many beneficiaries not sufficiently interested in change. The need for what the jargon calls “local ownership” has been recognised by donors in recent years – but it remains a meaningless slogan if the locals don’t have the experience to know what’s available; how to select priorities and to separate good from bad practice. In fact the critique of Technical Assistance goes back a long way – and was usefully summarised in 2002 by Peter Morgan in one of the few historical treatments of the subject. This was part of a major UNDP initiative entitled Reforming Technical Cooperation which was critical of the weak contribution of technical assistance to capacity development. Morgan's paper backs up my hostility to the logframe -

An organisational device of the North American construction industry – the project – was adopted to organise most TA. From the beginning, this process stunted IDO capacities for creative experimentation, for process facilitation, and for incremental discovery

3. Is there a better way? I have not really thought too much about the options - since I don’t sense that many people share my concerns and are actively seeking for alternatives. In my approach to training, I have suggested “balance” as a key principle. And perhaps this is also the key here.
Para 7 of my paper sets out some options which I will look at in more detail in my next post.
Right now I'm in Ploiesti - on my way to the mountains.

British reform

We tend to assume that the EU’s older member states have settled constitutional and organisational arrangements – but nothing stays still for a moment in the UK. On 15 December last, the UK Parliament’s Public Administration Select Committee apparently launched a new inquiry on Good Governance and Civil Service Reform. Its remit is straightforward –

As part of the inquiry the Committee is looking to devise a framework, or set of principles, within which the Civil Service can be effectively scrutinised and measured. The Committee will examine the following issues:
• What is meant by the Prime Minister’s term “post-bureaucratic age” and what its implications for good governance are.
• How the Civil Service may need to adapt and reform.
• How such reform can be sustained and realised.

The first written evidence can be read as a pdf file at the top of the list here.The paper by Chris Hood and Martin Lodge is, as always, worth reading – and their verbal evidence is also available there.
I discovered this material thanks to a fantastic site which gives the detailed technical lowdown on all matters relating to the new constitutional (or intergovernmental) relationships which now form government in the UK. This also put me on to the evidence currently being considered about a possible new settlement for Scotland Another interesting-looking new blog on the new developments in the UK's political and legal arrangements is from the independent Constitution Unit.