(Not for Quotation)
CAPACITY DEVELOPMENT IN JAPAN’S ODA:
EXPERIENCE FROM JICA’S TECHNICALCOOPERATION ACTIVITIESJuly 2008
Hiroshi Kato

Summary: As with many donors, Japan International Cooperation Agency (JICA) is astrong advocate of the concept of capacity development (CD). Particularly in recent
years, the agency has made steady efforts to mainstream the concept both within itself
and in the international development community. Conscious application of the concept
to its operations, however, is not as widespread as the agency claims. It seems that in
JICA, the CD concept is at best a hypothesis and the degree of acceptance of andsupport for the concept is uneven in various segments of the organization.
This is not to say that JICA‟s activities are not directed to CD. Rather, many of
JICA‟s projects are directed toward and do in fact contribute to CD. Actually, by
analyzing a “representative” JICA project, one finds that JICA‟s business model and thevalue system underpinning it do embrace the values and logic of the CD concept.
Though Japanese traditional values and systems of foreign aid have developed quite
independently of the CD concept, the two do seem to share their basic orientations.
The value of the CD concept can be found not only in its contents, but also in
its usefulness in policy analysis. A quick review of a case analysis suggests that the CD
framework enables one to put the development endeavor in perspective; it enables one
to visualize the complex interplay of the various actors involved, making it possible tosee what was impossible to see with other tools.
Thus, (1) observing the reality that the CD concept is still on its way toward
becoming mainstream in JICA (and in Japan in general for that matter), (2) confirming
the essential validity of the values and logic of the CD concept, and (3) recognizing theusefulness of the CD concept as a policy analysis tool, this paper argues for accelerated
and more organized efforts for its mainstreaming. The efforts for its mainstreaming
should start with understanding the insights that the CD concept provides, and should beaccompanied by specific changes in the ways that development interventions areplanned, implemented, and evaluated. Such reforms should include those that are
particularly intended to realize appropriate institutional changes to support sustainable
CD in developing countries.

 Institute for International Cooperation, Japan International Cooperation Agency(JICA). The views expressed in this paper are those of the author and do not necessarilyreflect the official views of JICA.
74

1. Introduction
This paper aims first to give a fair and objective account of how and to what
extent CD has come to be incorporated in JICA‟s operations. Based on that, it willthen try to raise some issues for discussion among the seminar participants on the things
that the author believes should be done to improve the effectiveness of Japan‟s ODA,
especially in view of the birth of a new JICA in October 2008.
Section 1 briefly sketches how JICA has come, or has tried, to incorporate theconcept of CD into its organizational thinking and practical operations, and tries to see
what has been achieved and what has not. Section 2 will then quickly examine a JICA
project from the CD perspective. Section 3 will briefly talk about the linkage between
CD and institutional change, as observed from the case analyzed in Section 2. Finally,
Section 4 will present some of the author‟s views and recommendations for further
mainstreaming of the CD concept.
1. CD and JICA
1.1 CD and Technical Cooperation
The advent of the recent debate on CD is closely connected with the debate on
the effectiveness of foreign aid, and particularly that of technical cooperation (TC) that,as a whole, has come under increasing skepticism regarding its true value during the
1990s. The criticism of TC during that time largely derived from the disappointing
experience of TC during the early decades up to the 1980s, especially in Africa, and anumber of publications were produced and conferences held to question theeffectiveness of TC and to advocate for its reform.1 It was argued that TC is not only
ineffective, but can even be detrimental to the development of developing countries fora number of reasons including the following: its donor-driven nature damages theownership of partner countries; expatriate experts tended to replace the functions ofendogenous resources, thereby depriving the latter of opportunities of developing theirown capacities; and TC tended to operate on a mistaken assumption that knowledge andskills could be transplanted from the developed world.
During the 1980s through to the 1990s, Japan, and JICA as part of it, was not
actively participating in the debate. It was only after the turn of the century that JICA
began to speak up on this matter, responding to the argument of the UNDP in its 2002
publication “Capacity for Development: New Solutions to Old Problems.”2 This rather
slow response of Japan to the debate might have been in part due to the fact that it did
not feel the need to question the effectiveness of its aid as seriously as other donors,
largely helped by the favorable growth performance of its major aid recipients, likethose in Asia.
JICA responded to the criticism of TC by mainly arguing that most of such
criticisms are relevant only to an old type of technical cooperation, which had been thestandard business model adopted by Western donors.3 For example, to the argument
1 Such documents include, among others, UNDP(1990), OECD/DAC (1991), UNDP (2004) ,and World Bank (1996),
2 UNDP (2002)
3 Such responses of JICA are summarized in its booklets in Japanese and English. See JICA
75

that foreign experts had tended to undermine the capacities of local personnel by taking
their positions and functions, JICA responded that unlike the experts of other donors,
Japanese experts always work together with local people so that the latter can learn fromlearning-by-doing processes. On the problematic issue of independent ProjectManagement Units (PMUs) outside of existing administrative structures, which
critiques of TC had often cited as the most detrimental, JICA replied that that was apractice of Western donors, and that Japanese cooperation had always focused on thestrengthening of existing public sector capabilities.
1.2 Recognition of the usefulness of the CD concept
Though, as seen above, the CD concept had emerged from the criticism on TC
with which JICA was not comfortable, JICA reacted to the CD concept positively.
After all, not having bad practices does not guarantee the effectiveness of aid. Thus,
while maintaining that its operations are basically free from the problems cited by TC
critiques, JICA did find the concept of CD useful as a framework against which toreview its operations from a wider perspective that was new to Japanese aid
practitioners. Thus JICA‟s Task Force on Aid Approaches compiled a booklet titled“Capacity Development Handbook for JICA Staff” (2004), and suggested that those
who were engaged in JICA‟s activities should give it serious thought. Addressing its
staff and JICA experts, it stated:“This concept [of CD might look] familiar to JICA, an organization that has longadvocated „“human development and nation-building.‟”
We often hear the remarks,„“Tthis is nothing new to us; We‟ve we‟ve been carrying out capacity development for along time.‟” Yet, if we review our human development and nation-building projects
from the CD perspective, we can see more clearly various challenges in improving theeffectiveness of our assistance.”4
The Handbook then argued that the CD concept can provide JICA with
important hints in reexamining its operations, on such points as the approaches tocooperation, scope and level of cooperation, and the time frame of cooperation.
1.3 Mainstreaming of CD
Since then, there has been a steady movement toward the mainstreaming of the
CD concept in JICA. One sign of JICA‟s organizational commitment toward CD is thatthe concept has been recognized as a guiding principle of JICA in its annual plan ofoperation since 2006:“JICA will implement its activities reflecting the viewpoint of capacity development(CD) and will make efforts to mainstream that concept. At the same time, it willaccumulate operational knowledge and experience on capacity development to beshared widely at various international fora.”5(XXXX), and JICA (2003a), JICA (2003b), and JICA (2003c).
4
JICA (2004)
5 The Japanese text of the JICA annual plan of operation 2008, for example, reads as follows:76

Parallel to this official acknowledgment of CD as one of the organization‟s
guiding principles of operation, steady efforts have been made to evaluate and reflect on
its own operations from the CD perspective. The results of such exercises have been
published as various study reports.6
Along with these largely intellectual exercises, efforts to operationalize the CDconcept have also been under way, the most significant of which is the adoption in 2006of “programs” as a framework of JICA‟s strategic planning. Defined as “a strategic
framework prepared in view of the support for the achievement of medium-long term
development goals of partner countries,” “JICA programs” are expected to serve as areference framework against which decisions on individual projects are made and assuch, are expected to enable JICA to implement its activities in a more comprehensive
and coordinated manner than before. These “JICA programs” typically include such
points as (1) the development strategies in a particular sector of the partner county, (2)specific objectives that JICA intends to help its partners achieve, and (3) the scenarios
through which such objectives are expected to be achieved. “JICA programs” also
contain (4) a list of possible JICA projects that, combined together, are expected tocontribute to achieving the program objectives. Behind the introduction of thisframework is the recognition that more comprehensive and coordinated support, alignedwith the development strategies of partner countries, is essential in making JICA‟s
operations more effective. While not directly linked with the concept of CD, thismovement toward the program approach is in line with the concept.
Concurrently, efforts to enhance awareness among JICA staff and experts were
strengthened, and it has been made mandatory for most JICA experts to attend a lecture
on CD before they leave for developing countries. To supplement these movements, abooklet titled “Operations Management Handbook” was published in December 2007.
Using the CD concept as one of the core values of JICA‟s operations, the Handbook
argues that JICA should move away from the conventional “project” approach, toward amore comprehensive “program” approach.
In addition to its efforts to mainstream the CD concept internally, JICA has
been playing an active role, especially in recent years, for mainstreaming the CDconcept in the international development debate. In 2003, together with UNDP, WBI
and CIDA, JICA organized a symposium on “Capacity Development and Aid
Effectiveness” in Manila, with the participation of more than 120 practitioners fromaround the world. Another symposium titled “Capacity Development: From Concept toPractice – Exploring Productive Partnership” was held in Tokyo, with GTZ of Germany
added to the group of organizers. JICA has also been an active member of “LenCD,” orthe Learning Network on Capacity Development, since its establishment in 2004.
Currently, an international study entitled “Technical Cooperation for Effective CD” isbeing conducted involving 11 developing countries and 7 donors, and its final synthesis
report due at the end of July 2008.

「１．技術協力（法第１３条第１項第１号）（１）総論ア．総合的な能力開発（キャパシティ・ディベロプメント：

ＣＤ）の視点を反映した事業を実施し、主流化を図るとともに国際的な会議等において積極的な発信を行うための知見を蓄積する。」
6

For a complete list of publications, see the reference at the end of the paper.

7

JICA (2007x)77

1.4 CD mainstreaming still on its way to development
As described above, there has been a steady movement toward themainstreaming of the CD concept in recent years on various fronts. However, there is alarge discrepancy between what is advocated and what is being practiced in the field. In
other words, the mainstreaming of the concept has not reached a point where it isconsciously and routinely applied to day-to-day operations.
There are several reasons for this situation:
First, not enough time has elapsed since conscious efforts started for CD
mainstreaming; it will take much time and many trial-and-error processes before acomplex idea like CD is internalized in a big organization like JICA.
Second, perhaps more importantly, the CD concept still remains a hypothesis atbest; far from having become an organizational conviction, the concept is at times evendismissed as a useless, empty discourse. The concept is often greeted with skepticism
for its lack of academic foundation. Though, as mentioned earlier, JICA made an official
reference to CD as a guiding principle of its operations two years ago, that move was
not necessarily followed-up with clear messages from the management, which perhaps
indicates the lack of organizational conviction on the concept.
Third, paradoxically, it is possible that the familiarity of the JICA staff with theidea of human resource development is working against the acceptance of the CDconcept, for those who are familiar with human resource development sometimes see
the CD concept as being nothing new and hence is of little added value.
And fourth, the difficulty of having a uniform understanding of the concept is
intensified by the diversity of practitioners involved in JICA‟s operations working in thefield, comprised of people of many different backgrounds and specialties, (consultants,
administrators from the government sector, NGOs, volunteers, etc.) none of whom are
specialists on CD.
In sum, in recent years, JICA has made steady efforts to mainstream theconcept of CD both within itself and out in the international development community.
However, the mainstreaming effort has not reached a point where the concept is widelyand deeply internalized so that it is applied in everyday activities. The CD concept
remains a hypothesis at best, and the extent to which it is internalized is uneven invarious parts of the organization.
2. JICA’s Development Projects Analyzed from the CD Perspective
The previous section has seen the situation concerning the adoption of the CDconcept in JICA, and concluded that CD is still in the middle of the process of being
internalized and disseminated. Having seen this, this section will attempt to examine
JICA‟s projects from the CD perspective. There are two points of interest:1)“To what extent does the „JICA way of cooperation‟ coincide with theprinciples of CD?” Many JICA projects, including the one analyzed below, started long
before the CD concept came to be advocated, and hence have been operating without
consciously applying the CD principles to its operations. Therefore, by examining a
JICA project using the CD concept, one can see what common principles the “JICAway” has with the teachings of CD.
2)“What can one see, by using the framework of CD, that it was not possible tosee without it?” This would be of particular interest because by reviewing, with the78

CD concept, a project that had been planned and implemented using a different
management tool (Project Design Matrix (PDM)), one would be able to sense what
insights the CD concept can provide.
(ア) The CD concept
Below is a brief summary of JICA‟s understanding of the CD concept, which
generally follows that of the UNDP.8 9・ Definition of CD“The process in which individuals, organizations, institutions, and societies develop„abilities‟ either individually or collectively to perform functions, solve problems, andset and achieve objectives.”
・ Structure of capacity – three layers
There are three layers of capacity – at the individual, organizational, and institutional or
societal level – each of which is interconnected with one another. 10
・ Two key features of the CD process
JICA attaches special importance to the two key features of CD, complexity andendogenuity, from which it draws important guiding operational principles.11
1) Complexity of Capacity → Comprehensive approach.
As the capacity required by developing countries to solve problems on their own is acomplex of elements, its analysis and efforts to develop them must be conductedcomprehensively.
2) Endogenuity of Capacity → Catalytic role of external partners.
The CD concept views capacity as un-transferable and largely dependent on theinitiative and ownership of developing countries. Hence the type of external assistanceappropriate for CD support is one that encourages and facilitates the endogenous efforts,
as a “catalyst.”
・ Tips for effective CD.
JICA‟s “Capacity Development Handbook” lists the following eight points as importantmessages to be kept in mind by aid practitioners.12① Outside actors cannot directly develop capacities in a partner country.
② Ownership by the partner country is vital.
③ Joint efforts with the stakeholders of the partner country are important.
④ A long-term commitment is required.
⑤ Creating a sustainable mechanism after project completion is important.
⑥ Systemic thinking and program approaches are necessary.
⑦ A flexible approach responsive to the development needs and conditions of eachcountry, issue and sector.
⑧ Measuring and evaluating the long-term CD process is important.

8

For a somewhat detailed description of JICA‟s understanding on CD, see the attachment.
This part of the discussion basically draws on JICA (2004).
10
For an illustrative list of capacities at the three levels, see the table attached in the Appendix.
11
JICA (2006b)
9

12

JICA (2004)

Some phrases have been modified by the present author.
79

(イ) The Case: Strengthening of Mathematics and Science in Secondary Education(SMASSE) Project in Kenya13
The case taken up for analysis below is a project in Kenya: The Strengtheningof Mathematics and Science in Secondary Education (SMASSE) Project.” This is a
project that is generally considered by many JICA-related people as one of the mostsuccessful, and perhaps one of the representative projects of JICA. 14(1) Project Outline
The Project was launched in July 1998, and with the completion of the initial
five-year period, Phase II of the project followed from July 2003 to June 2008. The
project focused on “lesson improvement” (improvement of the quality of teaching inclass) as its key concept, and in the course of it established an In-service Training(INSET) system for teachers, which eventually became part of Kenya‟s national
education system. Starting from Phase II, the project has enlarged its scope so that the
INSET system was expanded to other African countries with similar problems inmathematics and science education.
(2) Project achievement, in general terms
The project has generally been judged as being successful and having achieved
its primary objective (i.e. establishment of INSET system for teachers), although someproblems were identified in some respects, like “efficiency” and “impacts.” JICA‟sevaluation report on the project (Phase I) summarizes its evaluation findings, following
the DAC five evaluation criteria, generally in favorable terms. 15 In particular, theevaluation survey team concluded that “the sustainability of the project [is] very high,”
citing such observations as a) the activities established through the project are in linewith the national policy, b) the Kenyan Government has been allocating the necessary
budget for the activities, c) the establishment of the “SMASSE fund” will likely help
sustainability of the project, d) the awareness of personnel has been observed as highand the dropout rate of trainers low, and e) national INSET trainers were found to havebeen capable of managing and improving the national INSET system.
(3) Project achievement, in CD terms
JICA (2007) analyzed the achievements of the SMASSE Project from the CD
point of view. The analytical approach taken there was quite different from the one
routinely adopted in ordinary evaluations. What it did was:
① to identify, in theoretical terms, the kinds of capacities of various actors involved,that were judged as necessary for the achievement of the objectives of the SMASSE
Project;
13This section draws on JICA(2007)
This project has been chosen as one of the 21 excellent projects of JICA,
self-selected by JICA in 2003.
15
JICA (2002)
14

80

② to see which of these capacities thus identified were actually addressed in the
Project, and;③ to check what capacities were actually developed, both those ones that wereconsciously addressed by the Project and those that were not.
Having analyzed the level of capacity development overall, the reportconcluded that the SMASSE project had realized satisfactory CD at the national, local,
and school levels, in addition to the achievement of its objective, establishing “asustainable system for improving teachers‟ capability to conduct lessons.” The tablebelow briefly summarizes the types of capacities that the report concluded as having
been achieved, though with varying degrees of achievement. 16.
Level-specific Outcomes: SMASSE Project in Kenya (excerpts)
3 layers of capacity Examples of Outcomes in terms of Capacity Development(UNDP model)(improvement of problem-solving ability)
Societal level・ Necessity of INSET clearly recognized in White Paper.
・ Training center has been established.
Organization level
National・ Teaching materials, etc. have been developed.
・ 60 teachers have been trained.
Individual level・ Attitudinal changes.
・ Procedure to make four-cycle INSET system under way.
Societal level
・ Fund-raising system has been set up.
・ District Planning Committees have been established across thecountry.
Local
・ District INSET Training Centers have been established across theOrganization levelcountry.
・ Independent training costs are being met through the SMASSE
fund.
Individual level ・ Trainers feel they are empowered.
Societal level
・ SMASSE fund was budgeted in real terms.
・ Though at an early stage, informal exchange among teachers are
Organization level
developing at schools where district-level trainers are in place.
School・ Most math and science teachers are aware of the significance ofimproved teaching method.
Individual level・ Teachers acknowledge the significance of training and of
applying its outcome to their lessons.
Source: Drawn by the author based on the information extracted from JICA (2007)
pp.73-74. Format of the table and wordings have been changed for clarity and space.
Activity
Level

(4)

What types of external assistance worked well to support CD
Observing the overall success of the Project in terms of CD at multiple levels,
the report (JICA 2007) then traced the history of the Project and concluded that thefollowing features and measures had led to the successful CD:

16

JICA (2007), pp.74-75.
81・

Incorporating various needs of various stakeholders
The first reason for the project‟s success was the fact that the diverse needs shared by arange of stakeholders were identified at an early stage and taken into consideration in
the implementation process. The second was an effort to bring local needs to theattention of political and administrative stakeholders. Project members approached key
persons at the Ministry of Education and other administrative bodies who, throughout
the project, played central roles leading the project to success.
・
Using existing capacities for sustainable development
What made the Project a success was the shared idea that “sustainability is imperative.”
With this in mind, the Project members made thorough analyses of exiting capacities
and made realistic planning based on such analyses.
・
Taking local financial capabilities/constraints into consideration
Kenya‟s low ability to bear the operating costs for the training was a concern from thestart, and the Project persistently called for the Government commitments for the
project, and eventually witnessed increasing budgetary burden-sharing by the Kenyan
Government.
The establishment of the SMASSE fund for district-level training implementation isnoteworthy, for it enhanced the probability of sustaining the activities of the project; thisis a mechanism by which part of the tuition paid by parents is used to cover various
needs of school management, reducing the financial burden of the Government.
・
Building an institutional basis for sustainable expansion
In view of the sustainability of the outcome of the Project, it sought to expand the
INSET system into a national policy. That was later realized, and the system of teacher
training initiated in 9 districts is now operating in 72 districts of the country at the timeof the writing of JICA (2007).
・
Nurturing ownership
Throughout the project activities, utmost care was taken and efforts made to nurture thesense of ownership felt by the Kenyan members. Such efforts included:
Feeling the real needs increases the feeling of ownership. Kenyan
counterpart personnel were encouraged to visit the schools to see with their own eyes
what is really needed by the teachers working in district schools.
Making decisions increases ownership. Discussing with and gaining
support from Japanese experts, Kenyan counterpart personnel basically made important
decisions, like formation of training programs or the establishment of the SMASSE
fund. By taking part in the decision making process. By taking part in thedecision-making process, stakeholders cultivated a sense of responsibility and became
more deeply committed to their activities.
Proper incentives increase ownership. The project tried to provide
its counterpart personnel with non-monetary incentives rather than monetary ones.
Hence the Project maintained a strict principle which is not always easy to adhere to;
not providing Kenyan members (counterpart personnel, or training participants) withany economic incentives, like “per diem” for the participants of training programs. 17
17

The report states: “Based on the notion that „paying allowances kills a project,‟ no
C/P [counterpart] allowances or daily allowance for the training period was provided.
Since daily allowance paid by aid agencies is a routine in Africa, the project met various
difficulties at its start. However, this spirit is now understood and shared by the
Ministry of Education and by national –level trainers.”(JICA (2007), p. )82

Pride increases ownership. The project developed its scopeinternationally in Phase II, and with this international expansion, Kenyan Project
members felt their presence heightened through partnerships with NEPAD and ADEA
and through cooperation with other African countries. Thus, “national pride helped tostrengthen the sustainability of the activities.”18
・
Having appropriate leadership
The Project has been fortunate to have had highly capable and committed leaders bothon the Kenyan and Japanese sides. On the Kenyan side, the Head of the INSET unit issaid to have played an essential part in promoting the project from the launching period
up to the end of 2005. On the Japanese side also, there was a strong Chief Advisor, alegendary figure in the history of the Project.

(ウ)

The CD Concept and JICA’s Activities: Section Summary
The previous sub-section quickly traced and reviewed an analysis done by
JICA (2007). The intention of the review was to see to what extent the CD concept and“JICA way” of cooperation overlap with each other, taking as an example a project thatis considered representative among numerous JICA projects. The result of this quick
review illustrates that the JICA project is found to have adhered to many of theprinciples that the CD concept demands, though it was not applying such CD principles
consciously. Such principles included, most notably, the comprehensive approach toaddress the various capacity needs at different layers of society and the catalytic role ofdonors to secure and develop ownership of partner country members.
This observation might indicate, though by no means definitely, that the CDconcept and JICA‟s philosophy of cooperation do share some basic principles, though
they have been developed quite independently of each other. It can also be said that thesuccess of the JICA project, which inadvertently had been applying the principles of CD,
testifies to the validity of the CD concept.
Another finding that comes from the review is the usefulness of the CDconcept as a policy analysis model. When we compare the evaluation of the project
done according to the DAC 5 criteria of evaluation (see, 2.2 (2)), and the evaluation
done from the CD perspective (see 2.2 (3)), we find that the latter method can provide
us with far richer information about the achievements of the project than the former. In
fact that simple analysis of CD reminds one that capacity development is indeed acomplicated process, involving a variety of actors, each of whom have different
interests and perceptions and make their own choices and decisions. Thus the model can
provide us with a realistic understanding of development processes.
One specific example that shows the usefulness of the CD framework is theanalysis of whose capacities have been development to what extent, as we had a glanceon in section 2.2 (3) above. Having analyzed the CD achievements at each of the three(national, local, and school) levels, the report remarks that a few problems had beenfound to remain unsolved, particularly in terms of developing each individual teacher ‟s
18

JICA (2007)83

skills and other aspects at the school level.

It then states:“...Such an outcome was predictable from the fact that project planning focused on theestablishment of INSET implementation mechanisms at the national and local levels,
while school-levels activities were not included in the PDM objectives. However,capacity enhancement at the school level is an indispensable condition for thesustainability of the INSET system and for its ability to yield results in the classroom.
Thus, this project analysis serves to confirm the importance of the complexity[comprehensive] approach, which is emphasized form a CD perspective [...].”19
This kind of analysis would not have been possible had the project team relied
only on the conventional PDM tools.
These observations indicate that though JICA has been doing CD on its own
way (as hinted above), it had not developed an analysis tool with which it canconsciously and systematically apply the concept to its operations: to construct policy
models, to design practical intervention strategies, and to evaluate such interventions.
Perhaps what JICA can learn from the CD concept is not its specific contents, but rather,
the importance of having a conceptual framework.

3.

CD and Institutional Change
The SMASSE project seems to present us with a good case for supporting the
hypothesis on which today‟s seminar is based; the interdependence between CD andinstitutional change.
First, the case indicates that institutional changes were necessary for sustaining
the capacity changes that were taking place. The Project is a case in which there wereindeed a number of different actors interacting with one another, like teacher-trainers at
central and district levels, teachers, and officials at the Ministry of Education. Given thiscomplexity, in all likelihood sustaining such an interplay of various actors would nothave been possible without certain forms of institutional arrangements, which in thiscase came as incorporating the INSET teacher‟s training system into the national policy.
Second, the case indicates that institutional changes happened only when suchcapacity was accumulated that a certain form of institutionalization was felt to benecessary by decision makers. The important institutional changes, such as the one
adopted in the Project (adopting the INSET teacher training system into the national
education policy) could not have happened unless the capacities of various actors at the
district/school levels were fully recognized by the key decision makers.

Capacities and Institution
Achievements of the SMASSE ProjectStudents' Performance &Interests in Subject Improved
19

JICA (2007) pp. 74-75.

Quality of School
Lessons Improved84

Sustainable INSET
system establishedSelf-Efforts by Teachersfor Lesson Improvement

Source: Drawn by the author, based on JICA (2007)

4.

CD and JICA, and Japan’s ODA
This section argues that more accelerated and more organized efforts should bemade for the mainstreaming of CD. The arguments here are based on several
recognitions thus far reached, summarized as follows:

(1)

(2)
(3)

CD mainstreaming in JICA is still on the way, and the degree of
acceptance of and support for the concept is uneven in various segments of the agency(Section 1); but
The business model of JICA and the values underpinning it are essentiallythe same as those suggested by the CD concept (Section 2.3); in addition;
The CD concept can be a useful tool for policy analysis, and JICA canlearn a lot by conceptualizing its operations (Section 2.3).
The following subsections will first deal with the discussion on the significanceof the CD concept for JICA (4.1), and then will present some recommendations forfurther mainstreaming of the CD concept (4.2).

(ア)

The significance of the CD concept.
There are several dimensions in which the CD concept has made, and can make,meaningful contributions in making JICA‟s operations more effective.
First, the CD concept has broadened the domain of JICA‟s operations, from thetraditional “technological transfer” and “human resource development.” This is not to
say that these two business models of JICA have become useless or obsolete. Rather,with the introduction of the CD concept, these traditional modes of business have cometo be positioned in a wider perspective, enabling JICA to select different modes of85

cooperation depending on the capacity of its partner countries or organizations. This
expansion of the business model is of particular importance in light of the gradual shiftof partner countries of Japan‟s ODA from Asia to other parts of Africa; in the latter area,for example, technical cooperation based on technological transfer or human resource
development paradigms usually does not work well, because other capacities that areneeded to take advantage of acquired technology or developed human resource were
often times not in place.
Second and perhaps more importantly, the CD concept, with its structure andlogic, makes it possible and easier for development practitioners to construct a policy
model of their interventions. This is of enormous benefit, for only by having a policy
model can policy/decision makers and practitioners visualize, understand and anticipate
how their policy will work.
Third, related to the previous issue, the CD concept and the policy model basedon it enable one to perceive development as a highly interactive process, affected by theinterplay among various actors. The importance of this recognition cannot be
overemphasized because many aid practitioners, including those working in JICA, arelong accustomed to rely on a simple model of development, assuming linear causality
between actions and outcomes, as typically represented in the logical framework formatof the “Project Planning Matrix.”
Fourth, by focusing on the capacity of various actors rather than performance,
the CD concept makes development workers, who inadvertently have tended to take arather naive assumption that people behave rationally, aware of the very human natureof development processes. The model, the CD concept, and the analysis of the cases tellus that the development is fundamentally a political process, determined or affected
profoundly by different motives, choices, and decisions of various actors. This
recognition of the human nature of any development venture leads us to several
important recognitions about the features that development processes have, like: (1) theprocess of development is highly unpredictable and is difficult to plan and control,
hence (2) the achievement of objectives cannot always be taken for granted, (3)incentive systems in various forms, both monetary and non-monetary, are critical, and(4) equally, leadership is of critical importance.
And fifth, the definition of development as an iterative process of acquisition of
capacities and institutionalization of them reminds us that the development, after all, is a
succession of innovations. Though nothing new, this perception of development may
have some significance to those involved in the ODA business, in reminding them anew
that innovations can happen not only in developed nations, but can and should happen
everywhere, even in the least developed countries. This recognition also leads us to seethat there is no guarantee of success for development ventures, which should be sharedby a wide range of stakeholders and taxpayers.

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Recommendations for Further Mainstreaming of the CD Concept
The following actions seem to be advisable if JICA‟s activities are to be86reshaped toward more effective CD support:
First, systematic and conscious efforts should be intensified to make sure that
CD considerations are incorporated in project/program design. For example, measures
such as the following are worth serious consideration:(1) Making distinctions between achievements in terms of performance and in CD in, forexample, setting the project purposes. It does not seem that such distinction is being
made consciously in current project management practices.
(2) Likewise, it would be useful to make it a rule so that special and explicit emphasis will
be paid on the institutionalization of the acquired capacities in planning development
interventions.
Second, the way projects are managed should be reconsidered to make themmore flexible and hence more conducive to CD, for CD, as stated earlier, is a complex
and unpredictable process that requires a long time to happen. One practical way to do
this is to allow, or even encourage, revisions of the project objective and plan ofoperation, adapting to changes in the environment in which the project operates.20
Third, special attention should be paid so that Japan‟s ODA system becomes
more conducive to its partner country‟s institutional development. Of particularimportance in this regard is the merger of JICA and JBIC in October this year, whichshould endow the new JICA with a complete set of tools for cooperation fromvolunteers, NGO programs, up to more massive financial resource mobilization bymeans of grant aid and yen loans. If “scaling up” of activities increases the probabilityof stable institutionalization of the capacities acquired initially, the new JICA shouldtake full advantage of its width of intervention options.
Fourth, capacity development on the donor‟s side should be accelerated, for a
successful CD process needs to be planned, implemented and managed by competentpersonnel who possess profound understanding of human behavior and social systems.
Such competent development workers are in short supply. In this connection, theimportance of sharing CD experiences should be emphasized.
Fifth, academic inquiry into the CD concept should be promoted. Since it was
first proposed by the UNDP in 2002, the concept does not seem to have grown intheoretical terms, though a number of reports have been compiled on case analyses ofdevelopment projects and programs. Joint efforts among different disciplines of studies- economics, political science, sociology, pedagogy, management science, public health,and a number of others sciences - might help us to understand and use the CD concept
with more confidence.

20

The author is also aware that this is easier said than done. Many practitioners in thefield often say that while nobody wants to be inflexible in project management, it ismany a time difficult to be so for a number of reasons, including, especially,administrative and resource constraints.
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Words of Caution
Thus far, this paper has been advocating the mainstreaming of the CD concept,
based on the assumption of its basic validity and usefulness. Some words of caution,
however, seem to be in order here:
First, while the ideal of the CD concept is commendable, it is neither necessary
nor desirable to try to apply it universally. Different modes of cooperation should beselected depending on the needs of partner countries. Conventional approaches based on
the “technology transfer” or “human resource development” models could very well be
used as per the situations.
Second, we should be sensitive to the historical context from which the CDconcept has emerged. As shown in Section 1, it is a discourse invented by Western
donors and it has been applied only to developing countries by the donors, never having
been applied to developed countries themselves. Japan, as a non-Western donor, perhaps
should be sensitive to the historical context of the concept.
Third, related to the previous discussion, efforts to refine our understanding of
the CD concept are necessary. Though this paper has argued that the CD concept is inharmony with the Japanese traditional notion of development, the two might not be
identical, and we are not sure what the difference is, if any. We should be aware, as
stated above, of the different historical contexts from which different views on
development have emerged at the least.
Fourth, efforts to conceptualize our experiences and ways of thinking are ofurgent necessity. Japan is now trying to “understand” and “accept” the CD concept(which is what this paper, in fact, has been arguing). However, this current situation
looks like déjà vu, reminding us of the time when the concept of “ownership” came into
the vocabulary of development, and when we Japanese did not know (and we still do
not know even today) the difference between “ownership” and the Japanese traditional
philosophy of “self-help principle.” Efforts for the conceptualization of Japan‟s
experience and philosophy are urgently needed, and this seminar should be taken as astep in such an exercise.

Reference
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Problems. Earthcan & UNDP
OECD/DAC (1991), “Principles for New Orientations in Technical Co-operation.”
JICA （ 2002 ） Evaluation Report, SMASSE project, available at:
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Promoting Knowlesge Acquisition.
-------- (2003b), Capacity Development and JICA‟s Activities – Cooperation for
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Promoting Partner Country Ownership.
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-------- (2004) Capacity Development Handbook for JICA Staff (TAsk force on Aid
Approaches,
JICA)
availableat:
http://gwweb.jica.go.jp/km/FSubject1901.nsf/8f7bda8fea534ade49256b92001e9
387/979442df077e003e49256f33000425e9/$FILE/CD-HB-English(2004).pdf-------- (2006a) “Capacity Development (CD) – Concept of CD, its Definitions and its
Application
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JICA Projects.”(In
Japanese),availableat:
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Definition, and its Application in JICA Projects – available at:
http://www.jica.go.jp/cdstudy/library/pdf/20071101_24.pdf-------- (2006c) A Study o the Effectiveness and Problems of JICA‟s TechnicalCooperation from a Capacity Development Perspective: Case Study of Support
for the Advancement of Ghana‟s Irrigated Agriculture. Available at:-------- (2006d) Comprehensive Study on Family Planning and Women in Development
Projects in Jordan. Available at:-------- (2007) Strengthening of Mathematics and Science in Secondary Education(SMASSE) in Kenya. Available at:-------- (2008) Project for Strengthening District health Services in the Morogoro
Region, Tanzania. Available at:
UNDP(1990), “Technical Cooperation in African Development: An Assessment of its
Effectiveness in Support of the United Nations Programme of Action for
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World Bank (1996), “Lessons & Practices “Technical Assistance.”
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国際協力事業団（JICA）（2003）「プロジェクト研究『日本型国際協力の有効性と課題』」
国際協力機構（JICA）（2004a）「キャパシティ・ディベロップメント・ハンドブック」国際協力機構援助アプローチ分野課題チーム、2004 年 3 月。
--------（2004b）「専門家のためのプロセス・マネジメント・ハンドブック」--------（JICA2004c）「開発途上国廃棄物分野のキャパシティ・ディベロップメン
ト支援のために」--------（2005）「キャパシティ・ディベロップメントからみた JICA 技術協力の有効性と課題に関する一考察：ガーナ灌漑農業振興支援の事例から」国際
協力総合研修所客員研究員報告書。
--------（2006a）「ネパール森林分野協力の経験分析」（キャパシティ・ディベロップメントに関する事例分析）--------（2006b）「省エネルギー分野」（キャパシティ・ディベロップメントに関する事例分析）--------（2007a）「タイ地方行政能力向上プログラム」（キャパシティ・ディベロップメントに関する事例分析）--------（2007b）「事業マネジメントハンドブック」
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--------（2008a）「キャパシティ・ディベロップメントの観点からのコミュニティ
防災―コミュニティを主体とした災害対応能力の強化に向けて」--------（2008b）「アジア太平洋障害者センタープロジェクト」（キャパシティ・
ディベロップメントに関する事例分析）--------（2008c）『国際協力人材ハンドブック』国際協力機構
馬渕俊介・桑島京子（2004）「シンポジウム報告：途上国のキャパシティ・ディ
ベロップメントと有効な援助―より創造的なパートナーシップを求めて」『国際協力研究』第 20 巻第 1 号（通巻 39 号）
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Appendix:<Elements of capacities to be developed at the three levels of CD>
The Capacity Development Handbook (JICA 2004) gives illustrative examples ofcapacities at these three levels and typical elements of capacity at different levels.
Key capacity features and elements to be developed in the three levels of CD
Level
of Key capacity
Elements of capacity
Capacity
The will and ability to set Knowledge,
skills,will/stance,
Individual
objectives and achieve them using health, awarenessone‟s own knowledge and skills
The decision-making processes Humanassets(capacitiesofandmanagement
systems, individuals
comprisingorganizational
culture,and organizations)frameworks required to achieve a Physical assets (facilities, equipment,
specific objective.
materials raw materials) and capitalIntellectual assets (organizational
strategy, management and businessknow-how,manuals,
statisticalinformation, production technology,
Organizasurvey andresearch reports,tionalhousehold precepts, etc.)
Form of organizations that can
optimally utilize assets (human,
intellectual, physical), management
methods (flat organizations, TQC(totalqualitycontrol),
KM(knowledge management), personnel
systems, etc.
Leadership
The environment and conditions
necessary fordemonstrating
capabilities at the individual ororganizational level, and thedecision-making processes, andInstitutional
systems
andframeworks
Societalnecessaryfortheformation/implementationofpolicies and strategies that areover and above an individualorganization.
Source: Reproduced from JICA (2004)91

Capacitiesofindividualsororganizations comprising a society
Formal institutions (law, policies,
decrees/ordinances,memberships,
etc.)
Informalinstitutions(customs,
norms)
Social capital, social infrastructure