1

Capacity Development and Social Capacity Assessment

October 28, 2005

Shunji MATSUOKA, Ph. D.

Graduate School for International Development and Cooperation (IDEC), Hiroshima University, Japan

Hiroshima International Center for Environmental Cooperation (HICEC)

2

Contents

1. Objectives and Principles of Social Capacity Assessment （SCA）

2. Social Capacity Assessment Approach

3. Designing the Program of Social Capacity Development

3

1. Objectives and Principles of Social Capacity Assessment (SCA)

4

Social Capacity Development ・1990s～ It became apparent that the Replacement Approach is limited.

We have proposed Social Capacity Assessment (SCA) models to design program proposals for international cooperation and to achieve aid effectiveness.

The research on SCA has progressed on three consecutive stages. Those include: definition of the concepts, establishment of the formal models, developing the indicators.

Research and development on Capacity Assessment has not yet improved much.

Importance of “Capacity Development”Approach.

5

SCEM and Social Capacity Assessment

System-makingStage

System-workingStage

Self-managementStage

SCEM

Entry Point Exit Point

1. Actor-Factor Analysis

2. Institutional Analysis3. Indicator Development4. Path Analysis5. Development Stage

Analysis

Program Design

The critical minimum

6

Social Capacity for Environmental Management（SCEM）

Overall capacity to deal with environmental problems through social actors’ individual and interactive efforts.

Social capacity is comprised of Government, Firms, and Citizens.

Government

Citizens Firms

7

Social System of SCEM①

8

2. Social Capacity AssessmentApproach

9

2.1 Actor-Factor AnalysisActor-Factor matrix

Factors

Actors

Government

Firms

Citizens

G - FG - CF - CG – F - C

Policy &Measure

Human &Organizations

Knowledge &Technology

Current Capacity

Capacity Gap

Project

The Critical Minimum

10

2.1 Actor-Factor AnalysisBenchmarks (Critical Minimum)

System-Working StageSystem-Making Stage

Issues related to Industrial pollutionPoverty related issues and issues related to industrial pollution

Environmental Issues

Turning point (peak of Environmental Kuznets Curve)

DegradationIssues Related to Industrial Pollution

Regulation

Reaching he peak of pollution level and improvement

Environmental Law

Environmental Administration

Environmental Information (Monitoring Data)

Bench marks

(Essential)

Negotiation, adjustment, and cooperation between Firms and Citizens

Negotiation between Government – Firms, Government – Citizens, Mass media

Benchmarks

(important)

Government – Firms

Government - Citizens

Firms – Citizens (through government)

Government – Firms

Government - Citizens

The Relationships between the Three Actors

Government (pollution control regulation)

Firms (pollution reduction)

Citizens (pressure on the government and firms and research cooperation)

Government (system-making)

Firms (efforts for pollution reduction)

Citizens (pressure on the government and firms and research cooperation)

The Role of the Three Actors

Period in which the regulations between the government and firm sectors become stronger through the setting the incentives for pollution abatement and industrial pollution improves after reaching its peak.

Period in which the bases of SEMS, especially governmental institutions, are developed.

Definition

11

2.1 Actor-Factor AnalysisActor-factor Analysis: Air Quality Management in China

Critical Minimum

C

Critical Minimum

G

•research, investigation–Air pollution monitoring stations are installed.

–Environmental information is disclosed.

•organization–Environmental Administration is developed.

•command and control–Environmental law are developed.

1990 The China Environmental Yearbook

1995 Upgrade its quality

1988 National Environmental

Protection Administration (NEPA)

1998 State Environmental Protection Administration (SEPA)

1979 Environmental protection law

(trial version)

1987 Air pollution control law

1989 Environmental protection law

1995 Air pollution control law (revised)

1996 The ninth five year plan

•research, investigation–recognize air quality

•organization–NGO, NPO activity

•command and control–Lodge a complaint, make demands, lobbying

•research, investigation–self-monitoring for emission source

•equipment, facilities–install end-of-pipe technology

•command and control–obey the law

Critical Minimum

F

K: Knowledge & TechnologyH: Human & OrganizationsP: Policy & Measure

in the mid-1990s, Critical Minimum was achieved (System-working)

a questionnaire etc.

a questionnaire etc.

12

2.2 Institutional Analysis

Classification of Institution (Ube-city in Japan)

Institutional based on the specific culture and customs of Ube City

Informal Institution

Ube ModelFormal Institution

Secondary InstitutionPrincipal Institution

13

2.2 Institutional Analysis

Institutional Change and SCEM (Ube-city in Japan)

InformalInstitutions

SCEM

FormalInstitutions

SCEMDevelopmentStage

1951Dust ControlCommittee

1968Air PollutionControl Law

Air Pollution WarningAir Pollution Alert

1971PollutionControl Agreement

Citizen’sMovement

DustConcentrationdecrease

1953Voluntary Activates ofFirms “Dust is Money”

196xShift for the RegulationBetween City and Firms

System-making Stage System-working Stage

External/InternalPressure

Dust Control SOx control

14

2.3 Indicator Development(1) Frontier/Tobit Approach

SCEM Indicator and SO2 Emission in China’s Manufacturing Industry

The critical minimum

15

scientific knowledge policy resource command and control

financial support capacity indicator SO2 concentration

The critical minimum

-5

-4

-3

-2

-1

0

1

2

3

1970 1980 1990 20000.00

0.05

0.10

0.15

0.20

(year)

(SO2 concentration (ppm); air quality)(factor score; capacity indicator)

2.3 Indicator Development(2) Factor analysis approach

Trend of government capacity for air quality management (Kitakyushu-city in Japan)

16

SCEM

Initial Point

Present Level

Beginning of the System-working

Stage

Path A

Path B

Input Point

0 Socio-economic Conditions/ Performance

2.4 Path Analysis

・Interrelationship among SCEM, socio-economic condition and

environmental performance

・Social actors' capacities and their relationship

Analyze the Development Path of SCEM with Path Dependency

The critical minimum

17

2.5 Development Stages AnalysisDevelopment Stages of SCEM: The Case of China

(Environmental Center Approach)

The 6th Five Year Plan (1981)Environmental Protection Low (trial) (1979)

China Environment Yearbook (1990)

The 9th Five Yea Plan (1995)

Beijing Olympic (2006)

GDP per capita or Year

To Self-ManagementStage

System-WorkingStage

System-MakingStage

G

C F

G

C F

G

C F

SCEM indicators

Air Pollution Control Act Amendments (1995)

Environmental Protection Low (1979)

Actor’s capacities andrelationship

Entry Point Exit Point

The 10th Five Yea Plan(2001)The critical minimum

18

3. Designing the Program ofSocial Capacity Development

19

SCA and Program Design①

The role of program design:Identify the target level of capacityProvide program-based projects to achieve the target

Projects are the ones based on the program (referred to as program-based projects) and are different from the conventional stand-alone projects

Based on the SCA’s framework, especially the actor-factor matrix

20

The Actor-factor Matrix

The critical minimumbe obtained for each factor be distributed among the actors proportional to the roles they perform in their respective societies. This distribution isnot always fixed.Substitute among actorsComplement among factors

SCA and Program Design②

Factors

Actors

Government

Firms

Citizens

Policy &Measure

Human &Organizations

Knowledge &Technology

Current Capacity

Capacity Gap

Project

The Critical Minimum

21

Pilot program

Scheduled in 2006Apply the SCA framework to one of Asian countries to design programs for sustainable development

SCA and Program Design③

22

This presentation is supported by the 21st Century Center of Excellence (COE) Program at Graduate School for International Development and Cooperation, Hiroshima University (Principal Researcher, Shunji Matsuoka, Ph.D.).