How do we build institutional capacity to support sustainable development?

1. How do we build institutional capacity to support sustainable development? Viv Heslop Vivacity Consulting Ltd 09 8467177, 021 848847 viv@vivacity.co.nz NZSSES forum presentation 15 September 2006

2. My interest develop legislation,strategy & policy implement strategy & policy but how ? little attention to building capacity to support implementation NZSSES forum presentation 15 September 2006

3. My premise • need to focus more on institutional capacity if New Zealand is to progress sustainable development • capacity building needs to be an explicit focus of policy development & implementation NZSSES forum presentation 15 September 2006

4. From 1987 to 2002 • need for institutional change recognised in Our Common Future 1987 • institutional dimension added by UNCSD in 1995 • criticism at 2002 that failure of progress due to lack of focus on institutional arrangements & inadequate governance tools NZSSES forum presentation 15 September 2006

5. The institutional challenge • work collectively & to collaborate • set policy & make decisions for the long term • be flexible & adaptive in policy-making • integrative thinking NZSSES forum presentation 15 September 2006

6. What does governance mean for sustainable development? • “mobilization and management of collective action amongst an array of actors” • “need capacity for collective action” (Healey et al 2002) • challenges existing institutional arrangements and capacities • sustainable development needs to become the ‘rules of the game’ NZSSES forum presentation 15 September 2006

7. Sustainable development as the ‘rules of the game’ - what does this mean? NZSSES forum presentation 15 September 2006

8. A soccer analogy In soccer you have: • the rules - controlling how game is played • players - how teams are organised to play, including use of substitutes • coaches - how players get the skills they need to play the game • cheerleaders - those who ‘inspire’ the players • umpires - those who decide if the game is being played fair NZSSES forum presentation 15 September 2006

9. Translating this to sustainable development… NZSSES forum presentation 15 September 2006

10. The rules • what it will take to progress sustainable development • long-term • collaboration & partnership • knowledge management • adaptable & flexible policy & processes • ‘soft’ skills - negotiation, conflict resolution, facilitation • subsidiarity • communication NZSSES forum presentation 15 September 2006

11. The players • how we structure ourselves for the collective action challenge • governance mechanisms • adaptive institutional arrangements NZSSES forum presentation 15 September 2006

12. The coaches • developing institutional capacity to support sustainable development: • human resource development • intra-organisational capacity • inter-organisational capacity • external institutional rules & incentives NZSSES forum presentation 15 September 2006

13. The cheerleaders • strong leaders being able to inspire on the need for change & to push the change • recognise, develop & support this talent NZSSES forum presentation 15 September 2006

14. The umpires • those who judge & critique progress • PCE • Audit office • DPMC • WSSD • OECD • UNEP • UNCED NZSSES forum presentation 15 September 2006

15. Focus on institutional capacity and institutional arrangements… NZSSES forum presentation 15 September 2006

16. Aspects of institutional capacity Human Resources (i.e. individuals) Intra-organisational capacity Inter-organisational capacity External institutional rules & incentives NZSSES forum presentation 15 September 2006

17. Human Resources (i.e. individuals) The process of equipping people with the understanding & skills, and access to knowledge & information to perform effectively • greater emphasis on process-related & ‘soft’ skills • communication • cooperation • conflict resolution • build coalition infrastructure • facilitation • negotiation • creativity • reflection • how to treat knowledge & skills issues needs to become a key policy concern NZSSES forum presentation 15 September 2006

18. To achieve this the organisational environment must be dynamic & responsive… NZSSES forum presentation 15 September 2006

19. Intra-organisational capacity The process by which things get done collectively within an organisation • increasing demand for more flexible & responsive management styles means new & different organisational structures & relationships • networks - informal, more about process than procedures & structures, based on trust & reciprocity • collaboration - genuine exchange of needs, ideas, responsibilities and control • communication - internal communication critical NZSSES forum presentation 15 September 2006

20. Inter-organisational capacity The process by which things get done collectively between organisations • networks - informal, more about process than procedures & structures, based on trust & reciprocity • collaboration - genuine exchange of needs, ideas, responsibilities and control • on-going learning & reflection needs to be supported • this is where we are experimenting with institutional arrangements in New Zealand NZSSES forum presentation 15 September 2006

21. These changes need to be supported by institutional development… NZSSES forum presentation 15 September 2006

22. External institutional rules & incentives the legal & regulatory changes that have to be made in order to enable organisations & agencies at all levels & in all sectors to enhance their capacities • sustainable development embedded as paradigm for public policy - Local Government Act, Building Act, Land Transport Act • strategies - Sustainable Development Programme of Action • support & recognise soft skills • support informal networks, collaboration • promote for open communication • promote & support open monitoring & evaluation NZSSES forum presentation 15 September 2006

23. How have our institutional arrangements responded… NZSSES forum presentation 15 September 2006

24. Urban Form, Design & Development (UFDD) • part of the Auckland Sustainable Cities Programme • encourage, promote & guide more sustainable urban form, design & development in the Auckland region • central government, local government, research organisations • acknowledged challenge of embedded processes and that it would be a long-term challenge to effect any substantial change NZSSES forum presentation 15 September 2006

25. Then why only commit to resourcing a three year programme? NZSSES forum presentation 15 September 2006

26. Successes in building capacity • networking - strengthened individual knowledge, built trust amongst participants in different agencies, became more aware of information available & who to contact • however networking was focused on inter-organisational rather than intra-organisational which considered to limit the effectiveness of UFDD • concerns over impact on network if key individuals left their organisations NZSSES forum presentation 15 September 2006

27. Successes in building capacity cont. • coordination - better understanding of what each organisation was doing, identified projects they could influence, commissioned projects in areas not being addressed • thorough understanding of what was happening in the sustainable urban form, design & development area • however this knowledge generally resided with individuals rather than the organisations they represent NZSSES forum presentation 15 September 2006

28. Successes in building capacity cont. • built awareness - participants ‘got up to speed’ on issues but was three years enough time to effect any change? • strategic broker - funding a dedicated person to facilitate UFDD contributed to its successes • provide networking opportunities • facilitate the exchange of ideas • look for opportunities to progress initiatives collaboratively • manage relationships NZSSES forum presentation 15 September 2006

29. The lessons & on-going challenges • communication • the lack of this about the wider ASCP to politicians, communities, businesses & other stakeholders seen as limiting success • need to provide individuals with skills to communicate & ensure intra-organisational processes support communication • collaboration • it takes time - need to develop ways to recognise the value of collaboration and allow for it to happen • it’s too risky! • risk aversion is an impediment - how can our institutional arrangements support ‘risk-taking’? NZSSES forum presentation 15 September 2006

30. The lessons & on-going challenges cont. • lack of urgency for need to change • how can the change we ‘driven’? • intra-organisational culture was considered a real impediment • while individuals felt collectively more empowered to effect change, this was often not supported by the organisations they represented • adaptive tools & processes • need for adaptive tools that can respond to emerging information • adaptive processes than can handle new & innovative ideas NZSSES forum presentation 15 September 2006

31. The lessons & on-going challenges cont. • knowledge management • overwhelming amount of information that needs to be managed & easily accessible • resourcing • many wanted UFDD to continue because of its value but unless it is resourced then this is not likely to happen • more widely supported by participating organisations • to ensure less reliance on individuals who might move on NZSSES forum presentation 15 September 2006

32. The lessons & on-going challenges cont. • recognising the intangible ‘outputs’ • evaluation often focused on tangile outputs such as publications, number of workshops • needs to recognise the intangible outcomes such as the strength of relationships & networks • clear path for follow-up • three years too short to effect change, but little thought given to what would happen at end of the three year ASCP pilot • resilience • how can we embed key ideas so that progress is not impacted by political or staff changes? NZSSES forum presentation 15 September 2006

33. Summary • building institutional capacity to progress sustainable development needs to be recognised as a key implementation task • it needs to be included as an explicit process when considering policy & projects • but building capacity is only the first step… NZSSES forum presentation 15 September 2006

34. Institutionalisation • process by which changes are sustained • means that practices become sufficiently regular & continuous they they amount to ‘institutions’ • accepted as the proper way to do things • shift new practices into ‘core business’ - from pilot to regular practice • time-limited projects fizzle out, teams scatter & momentum evaporates • need to look beyond the end of the project, managing not only an exit strategy but driving the positive features & practices from the project into the mainstream, & creating new ‘institutions’ NZSSES forum presentation 15 September 2006

35. My next presentation How can we take the elements of institutional capacity to progress sustainable development & get them institutionalised? NZSSES forum presentation 15 September 2006

36. So how is the START project addressing institutional capacity? NZSSES forum presentation 15 September 2006