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letter
. 2020 Dec 16;4:180. [Version 1] doi: 10.12688/gatesopenres.13204.1

Table 1. Three approaches to technical assistance.

Capacity substitution Capacity supplementation Capacity development
Role for the
advisor
DOER, performing government
functions
PARTNER, providing specific
support to the government (in
most cases, technical support
on specialised areas)
FACILITATOR, working with
government to enable change and
facilitate complex processes
Policy need The government needs specific
inputs but does not have
the capacity to provide them
– sometimes the need is urgent
and no capacity is available, at
other times the capacity needed is
a niche that the government would
not invest in beyond the current
assignment so they in-source.
    •   Clear technical problem
    •   Known solution/output
    •   Capacity constraints that cannot
        be filled with existing resources
The government needs specific
expert inputs in certain areas.

    •   Moderately sophisticated
        problems
    •   Specific technical inputs
        required
    •   Government requires
        additional support but
        leads the process
The government needs support in
implementing a complex change
process, and it requires specialised
support to facilitate the process.
    •   Complex change management
        problems
    •   It is not clear what type of
        support is required
    •   Support in identifying problems
        to solve, and testing different
        solutions, is required
    •   The government will be
        involved and in the driving seat
Programme
characteristics
    •   Clearly defined outputs to be
        delivered and reported against
    •   Led by external actors with
        control from the government
        counterparts
    •   Limited or no learning, the
        programme is mainly focusing
        on outputs
    •   The advisors are expected to
        have technical competencies,
        and to be local or international
        experts.
    •   Predefined outputs but
        also outcome-based
        technical support
    •   Led by the government
        counterparts or external
        actors
    •   Learning depends on the
        context, the implementing
        partner, and it is not
        necessarily embedded in
        the programme design.
    •   The advisors are expected
        to have both technical
        and professional skills,
        sometimes including
        facilitation skills in a
        specific area. In most
        cases, the expectation
        for the experts is to have
        international expertise.
    •   Outcomes-based programmes,
        with flexible and adaptive
        programme framework
        - regularly updated to navigate
        existing spaces for reform.
    •   Led by the government and
        facilitated by external actors.
    •   The role of the advisor is to
        manage a process, rather than
        the content of the programme.
    •   Learning is central to
        programme design – both
        real-time learning for course
        correction as well as learning
        about what works, what doesn’t
        and why in that particular
        context.
    •   The advisors can be both local
        and international, and the type
        of competencies required refer
        primarily to their facilitation
        skills and capacity to work with
        senior leaders and bureaucrats
        – although technical skills and
        experience in the area of work
        will be appreciated.
Enabling
conditions
    •   Clearly identified gap in existing
        capacity
    •   High levels of acceptance that
        there is a capacity gap to be
        filled
    •   Some open channels to other
        government departments
        impacted by the work of the
        technical advisor
    •   Authorisation to work on filling
        the capacity gap
    •   Medium levels of authority
        to engage on the subject
    •   Medium levels of
        acceptance, ability, and
        willingness to partner with
        the advisor on the subject
    •   An initial identification of
        areas of support needed
    •   High levels of acceptance that
        there is a problem to be solved/
        something needs to be done
    •   Authority, ideally from the
        highest political levels, to
        have the government teams
        engaged in the change process
    •   At least medium level of ability
        of the government team to
        work on the change process
Key risks     •   Lack of acceptance at various
        levels in the government
        (sometimes, a principal may
        request support but others
        in government may feel
        threatened or just not accept
        that the support is needed)
    •   Lack of authority in government
        (the person who opts for this
        activity may lose authority or
        may not have authority over the
        relevant departments)
    •   When this is based on supply,
        rather than demand, it may
        end up duplicating efforts and
        damaging the current reform
        efforts
    •   Lack of engagement
        from the government:
        sometimes the
        government may ask
        the advisor to lead the
        process, which eventually
        damages the level of
        ownership of the results
    •   No authority in
        government
    •   When this is based
        on supply rather than
        demand, it may provide
        highly technical advice, but
        not grounded in the local
        political economy
    •   No follow-through
        after the end of the
        programme/ the funding
        period
    •   No capacity developed,
        given a limited
        involvement from the
        government counterparts
    •   Unintended consequences
        of diverting resources
        from other reform areas
    •   Having the support of a
        recognised authority in
        government is critical to
        undertake this type of activity.
        Relying too much on only one
    •   person may damage the
        success of the programme
    •   Losing the interest of the
        principal, for instance by
        focusing on too many long-
        term results and not enough
        quick wins to create acceptance
    •   Focusing too much on
        developing technical skills and
        not understanding the political
        economy
    •   Serious gaps in terms of
        hardware, infrastructure, supply
        chains, staff available
    •   Unintended consequences of
        diverting resources from other
        reform areas