Process Management and Capacity Building

Following the managerial approach to compliance, we contend that the effectiveness of PPPs depends on an institutional design that reflects and addresses the material and cognitive capacities of norm addressees. The managerial approach rejects the assumption that actors violate a rule because of a lack of enforcement and argues that actors have a propensity to comply with rules: “The strongest circumstantial evidence for the sense of an obligation to comply with treaties is the care that states take in negotiating and entering into them” (Chayes and Chayes 1993, 186). According to the Chayes, noncompliance often stems from a lack of or limitations in capacity (Chayes and Chayes 1993, 188). Lack of capacity refers to a lack of “scientific, technical, bureaucratic, and financial wherewithal” (Chayes and Chayes 1993, 194;

cf. Chayes et al. 1998). Consequently, proponents of the managerial school recommend “managed compliance” (Raustiala and Slaughter 2002, 542).

Applied to PPPs, we look at what we call “process management” as a crucial design feature of effective PPPs. We expect that a partnership’s effectiveness depends on an efficient and professional management of the PPP itself.4 For example, the partnership secretariat should be able to work independently. Professional full-time staff should have the means to establish an efficient communication infrastructure and information management. While the communication between the partners must be continual, reliable, and transparent, transaction costs need to be kept low. Other indicators for good process-management are efficient and transparent decision-making rules and procedures, professional fund-raising, and staff recruitment. If conflicts or problems arise, there should be tools for conflict management and mediation (Hemmati et al. 2002). Red tape bureaucracy and organizational dysfunctions, in contrast, might hinder the effectiveness of PPPs (Schaferhoff 2008d). Thus, our second hypothesis (H2) reads: the more professional and efficient the process management, the more effective the PPP.

Given the absence or lack of capacities in many developing countries, we furthermore assume that PPPs must ensure productive capacity building measures for their partners and addressees in areas of limited statehood. According to this new consensus in the literature on aid effectiveness, PPPs and other initiatives must contribute to the development of local capacities (OECD-DAC 2006; Guhar-Sapir 2005). Thus, our third hypothesis (H3) reads: the more a PPP invests in the development of local capacities and the longer the time frame for these measures, the more effective the PPP, particularly in terms of outcome and impact.

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