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					      Application of UNDP‟s
Capacity Development Process and
Capacity Diagnostics Methodology




           September 2006
Context

    UNDP’s Capacity Development Process and Capacity Diagnostics
    Methodology draw upon prior UNDP, UN system, and partner
    organisation capacity development and assessment documents,
    case studies and reviews, at the level of both the enabling
    environment and the institution. The methodology materials,
    consisting of the Practice Notes on Capacity Development and
    Capacity Assessment, User’s Guide and Supporting Tool, have
    benefited from a technical review provided by representatives from
    the Bureau for Development Policy as well as from the Regional
    Bureaux.

    All of the input provided has enriched both the process and the
    product, and we look forward to this being a continuous learning
    process for all of us.
Introduction

 Purpose of     Frame capacity diagnostics within UNDP’s capacity development
 Presentation   process
                Familiarize audience with UNDP’s “default” capacity diagnostics
                methodology
                Enable practitioners to apply the methodology – from designing a
                diagnostic, to conducting an assessment exercise, to interpreting
                results

 Audience       UN Country Offices
                Regional Programmes
                Government Partners
                Regional Institutions and Experts


 Related        Capacity Development Practice Note
 Materials      Capacity Assessment Practice Note
                Capacity Assessment User’s Guide
                Capacity Assessment Supporting Tool
Focus of this Presentation


  Capacity Development Process –
  Focus on “Assess Capacity Assets and
  Needs” and “Define Capacity Development
  Strategies”




  Capacity Diagnostics Framework




                                            User‟s   Supporting Tool
  Supporting Content –                      Guide
  User’s Guide and Supporting Tool
Assess Capacity Assets and Needs and Define Capacity Development
Strategies


                                             Step 5:                       Step 1:
                                            Monitor &                  Engage Partners
                                           Evaluate CD                    and Build
                                            Strategies                   Consensus




                                                          Capacity
                                                         Developmen
                                                          t Process

                                                                                      Step 2:
                                   Step 4:
                                                                                      Assess
                                Implement CD
                                                                                  Capacity Assets
                                  Strategies
                                                                                    and Needs*




                                                           Step 3:
                                                         Define CD
                                                         Strategies*




* Focus of this presentation.
UNDP Definitions Related to Capacity (cont…)



   Capacity Assessment: An analysis of current capacities
      against desired future capacities; this assessment
   generates an understanding of capacity assets and needs
       which in turn leads to the formulation of capacity
                    development strategies
Step 2: Assess Capacity Assets and Needs

                                                                                         Description
                                                                                         Conducted along three
                                  Step 5:                       Step 1:
                                 Monitor &                  Engage Partners              dimensions: points of entry, core
                                Evaluate CD                    and Build
                                 Strategies                   Consensus                  issues and functional capacities.
                                                                                         Existing process and framework
                                                                                         can be applied to any sector,
                                                                                         e.g., health or education
                                               Capacity
                                              Developmen                                 Key Activities
                                               t Process

                                                                           Step 2:       2a. Mobilize and design
                  Step 4:
                                                                           Assess
               Implement CD
                 Strategies
                                                                       Capacity Assets
                                                                         and Needs*
                                                                                         2b. Conduct the capacity
                                                                                             assessment
                                                                                         2c. Summarize and interpret
                                                                                             results
                                                Step 3:
                                              Define CD
                                              Strategies*




* Focus of this presentation.
UNDP “Default” Capacity Assessment Framework

                                                                             Functional Capacities*
                                                                         Engage in Analyze a
                                                                                               Formulate    Budget,
                                                                           Multi-  Situation &                         Monitor &
                                                                                                Policy &   Manage &
                                                                        Stakeholder Create a                           Evaluate
                                                                                                Strategy   Implement
                                                                         Dialogue     Vision




                                                                                                                              Leadership

                                                                                                                       Policy & Legal Framework

                                                                                                                         Mutual Accountability




                                                                                                                                                    Core Issues
                                                                                                                            Mechanisms

                                                                                                                          Public Engagement

                                                                                                                          Human Resources

                                                                                                                         Financial Resources

                                                                                                                         Physical Resources

                                                                                                                       Environmental Resources




                                                                                                                                     Primary Areas of Capacity
                                                                                                                                     Assessment Focus –
                                                                                                                                     Specific Assessment
                                                                Human Rights Overlay                                                 Questions and Indicators
                                                               any Capacity Assessment                                               Available for Each Cross
                                                                                                                                     Section



* Technical capacities complement the functional capacities.
UNDP “Default” Capacity Assessment Framework: Points of Entry
 Capacity resides on different levels – enabling environment, organisation and individual – and needs to
 be assessed across these levels. A capacity assessment team selects one level as its point of entry
 (and may “zoom in” or “zoom out” from that level as needed). Having a clearly articulated purpose for
 a capacity diagnostic helps define the point of entry.

 Point of Entry             Description
 Enabling Environment       Comprises a variety of elements that can facilitate or constrain the development of capacity, including
                            overall policies, rules and norms, values governing the mandates, priorities, modes of operation, etc.
                            within and across sectors. Such elements create incentives or constraints that determine the “rules of
                            the game” for interaction between them and can affect the performance of individual and sector
                            organisations. Alternatively known as the societal or institutional level; it is not necessarily synonymous
                            with the national level.


 Organisational             Generally focuses on the internal workings of an organisation in order to establish or improve specific
                            capacities. Rarely, if ever, sufficient to explore capacity issues at this level alone.


 Individual                 Generally conducted within the context of an organisational assessment, carried out through
                            performance management systems and are the responsibility of the countries concerned.


 Zooming In and Zooming Out                     Zoom In


                                      Enabling
      Capacity Levels                                                  Organisational                           Individual
                                     Environment

                                                                                                                           Zoom Out
UNDP “Default” Capacity Assessment Framework: Core Issues
The Core Issues are those that UNDP most frequently encounters. Not all of these will necessarily be
analysed in any given assessment, but they provide a comprehensive set of issues from which a
capacity assessment team may choose as it defines its scope.

 Core Issue                   Description
 Leadership                   Capacity to foster ownership; manage relationships with key external stakeholders, including the ability to negotiate; develop, communicate
                              and give direction on vision, mission and values; develop and implement a system for overall management; and create an environment that
                              motivates and supports individuals

 Policy and Legal Framework   Capacity to develop and sustain a policy and legal framework that is independent, impartial and fair – a system that is critical to the
                              alleviation of poverty and achievement of the MDGs

 Mutual Accountability        Capacity to ensure accountability through prevention and enforcement; strengthening of national integrity institutions; increasing public
                              participation; and building coalitions; and working with the international community
 Mechanisms

 Public Engagement            1) Capacity for inclusion, participation, equity and empowerment of individuals; and 2) mobilization, access and use of information and
                              knowledge

 Human Resources              Capacity for development of recruitment and promotion policies; performance assessment and management mechanisms; incentives
                              (monetary and non-monetary); monitoring and evaluation mechanisms; and training

 Financial Resources          National and local capacities to negotiate, manage, utilize and monitor internal financial resources as well as DBS in ways that best support
                              the human development agenda and achieve the MDGs, including capacities for the management of development finance and development
                              cooperation

 Physical Resources           Capacity to build, maintain and manage physical resources; does not include accounting of the number of bridges but the capacity to
                              construct and provide continuing services necessary to keep them operational

 Environmental Resources      Capacity to manage environment and natural resource and energy sectors, to integrate environmental and energy dimensions into poverty
                              reduction strategies and national development frameworks, and to strengthen the role of communities in promoting sustainable development

 Human Rights                 Capacities regarding promotion and protection of human rights, including gender rights, and the application of a human-rights-based
                              approach to development planning and programming; creation of sustainable institutional systems; the application of human rights in law
                              and reality; effective systems for societal monitoring of human rights enforcement; transparent mechanisms to correct human rights
                              violations; and specific measures for affirmative action for addressing structural issues that perpetuate inequality and discrimination
UNDP “Default” Capacity Assessment Framework: Functional Capacities
 Specific functional capacities are necessary for the successful creation and management of policies,
 legislations, strategies and programmes. UNDP has chosen to prioritise the functional capacities
 below, which exist at all three points of entry, for all core issues and across sectors.

 Functional Capacity        Description
 To Engage in Multi-        Capacity to engage and build consensus among all stakeholders, including relevant public and societal
 Stakeholder Dialogue       agents, as well as external partners. Specific skills include the ability to identify, motivate and mobilize
                            stakeholders; create partnerships and networks; raise awareness; develop an enabling environment that
                            engages civil society and the private sector; manage large group processes and open dialogue; mediate
                            divergent interests; and establish collaborative mechanisms


 To Assess a Situation      Abilities to effectively access, gather, analyze and synthesize data and information, and translate it into a
 and Create a Vision        vision for the future. Specifically, it includes the ability to define the state of current capacities, and
                            assess those against a desired future state, thus articulating the capacity needs that can lead to capacity
                            development strategies


 To Formulate Policy and    Abilities to analyze a range of development parameters that may affect needs and performance in a
 Strategy                   given area; explore different perspectives; conduct long-term strategizing; and set objectives



 To Budget, Manage and      Process management capacities essential in the implementation of any type of policy, legislation,
 Implement                  strategy and programme, including budget formulation; execution aspects of programme and project
                            implementation; mobilization and management of human, material and financial resources; selection of
                            technologies; and procurement of equipment


 To Monitor and Evaluate    Abilities to monitor progress, measure results and codify lessons, for learning and feedback to ensure
                            accountability to partners and the ultimate beneficiaries of development. It also covers results-based
                            management and monitoring and evaluation systems, as a means of reporting to donors.
Assess Capacity Assets and Needs – Benefits

    • Brings rigor and a systematic method for assessing existing capacity
      assets and needs
    • Provides a comprehensive view of the issues that could be
      addressed in a capacity assessment
    • Provides a structure for discussion about the scale and scope of the
      capacity assessment exercise and about expectations of the
      capacity development effort more generally
    • Provides a method for generating quantitative as well as qualitative
      data to support the development of a capacity development action
      plan
    • Makes sense of complex development situations, when it is not
      always obvious where best to intervene to promote capacity
      development
Assess Capacity Assets and Needs – Operational Considerations

    • Understand that capacity diagnostic is a set of activities, not a
      solution
    • Leverage the framework as a point of departure for a capacity
      diagnostic – it is flexible and needs to be customized by the
      assessment team to suit its specific needs/context
    • Define desired capacities prior to undertaking the diagnostic, as they
      do not emerge from a capacity diagnostic
    • Do not necessarily expect “surprises” from the diagnostic, but rather
      confirmation and consensus
    • Leave prioritization of investment until after the assessment of
      capacities has been completed
    • Consider a capacity diagnostic as a dynamic, ongoing process… not
      a one-time event
Step 3: Define Capacity Development Strategies

                                                                                         Description
                                                                                         The formulation of capacity
                                  Step 5:                       Step 1:                  development strategy options
                                 Monitor &                  Engage Partners
                                Evaluate CD                    and Build
                                                                                         suggested by capacity assessment
                                 Strategies                   Consensus                  data, evidence and analysis. Includes
                                                                                         short to medium (1 year +) strategic
                                                                                         initiatives and immediate quick impact
                                                                                         activities (<1 year)

                                               Capacity
                                              Developmen
                                               t Process
                                                                                         Key Activities
                                                                                         3a. Define capacity development
                                                                           Step 2:
                  Step 4:
                                                                           Assess            strategies
               Implement CD
                                                                       Capacity Assets
                 Strategies
                                                                         and Needs*      3b. Define progress indicators for
                                                                                             capacity development strategies
                                                                                             and capacity development
                                                                                         3c. Cost capacity development
                                                Step 3:
                                              Define CD
                                                                                             strategies and capacity
                                              Strategies*                                    development


* Focus of this presentation.
     Capacity Development Strategies
  Capacity Diagnostics:
  Needs and capacity assessments, indicators and measurement, local R&D…

  Knowledge Services and Learning:
  Large group, technical and tertiary education, on-the job skills transfer, focus groups…

  Leadership Development:
  One-on-one coaching, mentoring, management skills development…

  Institutional Reform and Change Management:
  Process facilitation, performance management, functional reviews, PAR in transitions, procurement…

  Multi-Stakeholder Engagement Processes:
  Institutional twinning, e-networks, community dialogues, integrated planning and problem analysis…

  Mutual Accountability Mechanisms:
  M&E processes, social watch, peer and partner reviews…

  Incentive Systems:
  Salary supplements, non-monetary benefits, pay and compensation...

Note: Case-driven concept notes for each capacity development strategies are expected to be published in the fourth quarter of 2006.
Capacity Development Process

                                                                                         Key Activities

                                  Step 5:                       Step 1:                  2a. Mobilize and design
                                 Monitor &                  Engage Partners
                                Evaluate CD                    and Build
                                 Strategies                   Consensus
                                                                                         2b. Conduct the capacity
                                                                                             assessment
                                                                                         2c. Summarize and interpret
                                                                                             results
                                               Capacity
                                              Developmen
                                               t Process                                 3a. Define capacity development
                                                                           Step 2:
                                                                                             strategies
                  Step 4:
                                                                           Assess
               Implement CD
                 Strategies
                                                                       Capacity Assets   3b. Define progress indicators for
                                                                         and Needs*
                                                                                             capacity development
                                                                                             strategies and capacity
                                                                                             development
                                                Step 3:
                                              Define CD
                                                                                         3c. Cost capacity development
                                              Strategies*                                    strategies and capacity
                                                                                             development
* Focus of this presentation.
2a. Mobilize and Design

   It is important for local participants to gain ownership of the exercise and for
   stakeholders to be identified and engaged appropriately – providing political
   and administrative oversight, assisting in the design and implementation,
   and ensuring thorough analysis and follow-up.

   • Clarify objectives and expectations with primary clients
   • Identify and engage national/local stakeholders throughout the process –
     design, assessment, interpretation and dialogue – to ensure ongoing
     success
   • Use UNDP Capacity Assessment Framework to suit local needs
       • Define the scale and scope of the capacity assessment by selecting
          point of entry, core issue(s) and functional capacity(ies)
       • Determine data collection and analysis approach
       • Review existing sources and knowledge
   • Determine how the assessment will be conducted (team, location)
   • Cost the capacity assessment exercise (based on team composition,
     duration and depth)
UNDP “Default” Capacity Assessment Framework
                                                                                                                                                  Comments
                                                               Functional Capacities*
                                                                                                                                                  The Capacity
                                                         Engage in Analyze a
                                                                               Formulate    Budget,                                               Assessment
                                                           Multi-  Situation &                         Monitor &
                                                        Stakeholder Create a
                                                                                Policy &
                                                                                Strategy
                                                                                           Manage &
                                                                                           Implement
                                                                                                       Evaluate                                   Framework is flexible
                                                         Dialogue     Vision
                                                                                                                                                  enough to meet the
                                                                                                                                                  needs of most
                                                                                                              Leadership
                                                                                                                                                  capacity assessment
                                                                                                                                                  situations.
                                                                                                       Policy & Legal Framework

                                                                                                         Mutual Accountability
                                                                                                                                                  It is incumbent upon a




                                                                                                                                    Core Issues
                                                                                                            Mechanisms
                                                                                                                                                  capacity assessment
                                                                                                          Public Engagement
                                                                                                                                                  team to design the
                                                                                                          Human Resources
                                                                                                                                                  framework to suit local
                                                                                                         Financial Resources                      needs.
                                                                                                         Physical Resources

                                                                                                       Environmental Resources                    It is not mandated that
                                                                                                                                                  the entire framework
                                                                                                                                                  is used in any given
                                                                                                                     Primary Areas of Capacity
                                                                                                                                                  assessment.
                                                                                                                     Assessment Focus –
                                                                                                                     Specific Assessment
                                           Human Rights Overlay                                                      Questions and Indicators
                                          any Capacity Assessment                                                    Available for Each Cross
                                                                                                                     Section



* Technical capacities complement the functional capacities.
Design Considerations

   • Select one cross-section to all 100 cross-sections
   • Once a point of entry has been determined, use either a core issue(s)
     or a cross-cutting functional capacity(ies) as the primary driver of the
     assessment
   • Go into more depth on any given cross-section, e.g., split “Budget,
     Manage & Implement” into three sub-capacities
   • Formulate questions as appropriate – use questions in User’s Guide;
     develop additional questions; break down questions provided into
     more sub-questions
   • Customize according to how much time is allotted for a given project
     – one week assessment or a three-month assessment

           It is incumbent upon a capacity assessment team
               to design the framework to suit local needs.
Quantitative Data vs. Qualitative Information

  Quantitative Data                      Qualitative Information
  Advantages                             Advantages
  • May be seen as more                  • Provides context for qualitative
    “legitimate” than the qualitative      element
    element
                                         • Creates repository of
  • Easier to compare capacity             “institutional memory”
    levels across different core
                                         Disadvantages
    issues and functional capacities
                                         • More difficult to compare
  Disadvantages
                                           capacity levels across core
  • May be used for comparison             issues and cross-cutting
    purposes that are not valid            capacities
Illustration: Designing a Capacity Assessment

          Visioning and Strategic Planning Capacities
          “During the process of developing the UNDAF, a perceived gap in
          national-level visioning and strategic planning has been
          identified.”


           Considerations
           1. Use the UNDP Capacity Assessment Framework as a
              framework for discussion
           2. Define scope and scale of capacity assessment by selecting
              point of entry, core issue(s) and cross-cutting functional
              capacity(ies)
           3. Focus efforts on a handful of dimensions (issues and
              capacities) that cover a majority of the scope and scale;
              although a capacity assessment may feasibly include all
              issues and capacities
Illustration: Designing a Capacity Assessment

   Point of Entry   Enabling environment at the national level
   Core Issue(s)    All Core Issues
   Functional       Analyse a Situation and Create a Vision
   Capacity(ies)
                    Formulate Policy and Strategy
   Possible         Within the context of the enabling environment, use the
   Approach         capacities as drivers of the assessment – applying both
                    capacities to all relevant core issues
                    Take a UN system approach, with appropriate agencies
                    responsible for various core issues, e.g., UNDP manages
                    Leadership, Policy & Legal Framework and Mutual
                    Accountability Mechanisms; UNICEF manages Public
                    Engagement; and UNEP manages Environmental Resources
                                                                                         Capacity Development Process




Capacity Development Process

                                                                        Key Activities

                  Step 5:                      Step 1:                  2a. Mobilize and design
                 Monitor &                 Engage Partners
                Evaluate CD                   and Build
                 Strategies                  Consensus
                                                                        2b. Conduct the capacity
                                                                            assessment
                                                                        2c. Summarize and interpret
                                                                            results
                               Capacity
                              Developmen
                               t Process                                3a. Define capacity development
                                                          Step 2:
                                                                            strategies
        Step 4:
                                                         Assess
     Implement CD
       Strategies
                                                      Capacity Assets   3b. Define progress indicators for
                                                        and Needs
                                                                            capacity development
                                                                            strategies and capacity
                                                                            development
                               Step 3:
                              Define CD
                                                                        3c. Cost capacity development
                              Strategies                                    strategies and capacity
                                                                            development
2b. Conduct the Capacity Assessment


  Viable capacity development strategies nurture and reinforce existing
  capacities. The capacity assessment uses existing capacities as the
  starting point, and throughout the process, identifies capacity needs
  against pre-determined desired capacities.


  • Define desired future capacities – by articulating key questions
  • Define capacity levels
  • Assess existing capacity levels
Articulating Capacity Assessment Questions – User‟s Guide


  A step-by-step guide to                           Contents
  conducting a capacity                   1.Overview and Key
  assessment                                Operational Considerations
                                          2.Assess Capacity Assets and
  Includes instructions for
                                            Needs
  conducting a capacity
  assessment and specifically for         3.Define Capacity
  using the supporting tool                 Development Strategies and
                                            Actions
  Includes illustrative questions         4.Questions and Indicators by
  and indicators for each cross-            Core Issue
  section of the “default”                5.Annexes
  framework (cross section of point
  of entry, core issue and
  functional capacity)
Articulating Capacity Assessment Questions

 Considerations
 1. Begin by leveraging questions in the User’s Guide
 2. Adapt questions to assessment objectives: modify, add to, delete questions as necessary

 Request – Illustration #1: Visioning and Strategic Planning
 “During the process of developing the UNDAF, a perceived gap in national-level visioning and strategic planning has been identified.”

 Point of Entry                       Enabling Environment at the national level
 Core Issue                           Leadership

 Functional Capacity                  Formulate Policy and Strategy


  Overall Question (from              •     Do authorities have the capacity to develop integrated policies and plans linked to
  the User’s Guide)                         resources?
  Additional Questions                •     Do authorities have the capacity to formulate policies, legislations, strategies and
  (from the User’s Guide)                   programmes?
  Revised Questions                   “Unbundle” questions above
                                      Consider additional questions: Do authorities have the capacity to:
                                      •   Identify weaknesses of existing plans (areas that need improvement)?
                                      •   Formulate strategy that incorporates plans for implementation?
                                      •   Identify dependencies across sectors? Develop policy that addresses these
                                          dependencies?
Defining Capacity Levels

 Considerations
 1. Adjust definition of each capacity level as the context dictates
 2. Ensure consensus on what each capacity level means
 3. Determine how to assign levels… or how will the questions be answered
     a. Identify appropriate indicators
     b. Find data, e.g., from policy documents, reports, statistics, interviews, observable practices
 4. Determine what will be done with results – will they be used to compare across entities (e.g.,
    ministries, districts, communities)
 5. Determine whether qualitative information will be captured as well

 Levels

   1           No evidence of relevant capacity
   2           Anecdotal evidence of capacity
   3           Partially developed capacity
   4           Widespread, but not comprehensive, evidence of capacity
   5           Fully developed capacity
                                                                                         Capacity Development Process




Capacity Development Process

                                                                        Key Activities

                  Step 5:                      Step 1:                  2a. Mobilize and design
                 Monitor &                 Engage Partners
                Evaluate CD                   and Build
                 Strategies                  Consensus
                                                                        2b. Conduct the capacity
                                                                            assessment
                                                                        2c. Summarize and interpret
                                                                            results
                               Capacity
                              Developmen
                               t Process                                3a. Define capacity development
                                                          Step 2:
                                                                            strategies
        Step 4:
                                                         Assess
     Implement CD
       Strategies
                                                      Capacity Assets   3b. Define progress indicators for
                                                        and Needs
                                                                            capacity development
                                                                            strategies and capacity
                                                                            development
                               Step 3:
                              Define CD
                                                                        3c. Cost capacity development
                              Strategies                                    strategies and capacity
                                                                            development
                                                               Capacity Development Process




2c. Summarize and Interpret Results


   Once the assessment has been completed for selected cross-
   sections, the assessment team compares the assessment results
   against the desired level of capacity, as determined during the
   Mobilize and Design phase. This comparison helps the team
   determine the level of improvement required, which in turn will provide
   direction in terms of which areas to focus capacity development
   strategies

   • Summarize results
   • Compare against desired level of capacity and interpret findings
                                                                          Capacity Development Process




Illustration: Interpreting the Results


  Core     Budget          Manage       Implement      Avg
                                                              1. Leadership is relatively
  Issues
                                                                 strong within all capacities
  Leader       3.4          3.0            3.2         3.2       assessed
  ship                                                        2. Human resource-related
  HR           1.3          1.7            1.5         1.5       capacities are less strong




  Core           Budget      Manage Implement           Avg   1. Capacity to budget is
  Issues                                                         strong across issues
  Leadership         4.0          1.0            1.3    2.1   2. However, capacity to
  HR                 4.2          1.3            1.4    2.3      manage and implement
                                                                 may need improvement
Supporting Tool


  An excel spreadsheet to support a capacity assessment, including
  separate worksheets for each step of the assessment and an overall
  summary
User‟s Guide and Supporting Tool – Benefits


   • Provides instructions for conducting a capacity assessment
   • Offers a starting point for capacity assessment exercises
      – Provides overall and detailed questions for each cross-section of
        the Capacity Assessment Framework
      – Provides indicators for each cross-section
   • Provides a tool for data collection and analysis
User‟s Guide and Supporting Tool – Operational Considerations


  • Adapt questions and indicators as appropriate
     – Questions and indicators provided are intended to serve as
       thought-starters
     – Given the contextual demands of any assessment, it is expected
       that these questions and indicators will be tailored, added to or
       deleted to address context-specific needs
     – They do not represent an exhaustive set of questions and
       indicators for any capacity assessment
  • Use the supporting tool as needed for data collection and analysis. It
    need not be used, however – pen and paper are a sufficient
    approach for data capture
  • While the overall Capacity Development process is mandated, the
    specific questions and indicators in the User’s Guide and Supporting
    Tool are not
Potential Pitfalls……………………………………and Responses

 • Assessment fatigue                             • “Zoom in” on the issues

 • Skepticism about value and validity of
   results emerging from a capacity               • Importance of building consensus
   assessment

 • Suspicion that capacity assessments are
                                                  • Assessments for overall
   being used by senior management for re-
                                                    development effectiveness
   profiling or retrenchment

 • Disconnect between capacity assessment
                                                  • Focus on the link between
   and formulation of capacity development
                                                    assessment results and capacity
   strategies: basing strategy formulation on
                                                    development strategies
   “guesstimates” of capacity gaps

 • Facilitation level: too much may lead to
   “coached” outcomes; too little may result in
                                                  • Endogenous process, ownership
   a “wish list” of capacity development
   strategies
Good Practices
  • Consider capacity assessments as a normal part of good management that can assist
    stakeholders in enhancing capacity and improving performance and that can add value to the
    processes of needs identification, planning, implementation, monitoring and evaluation, rather
    than treating them as stand-alone activities
  • Ensure that any assessment is nationally and/or locally led, although external facilitation is
    the most effective way to make the assessment as objective as possible
  • Engage stakeholders from the outset to ensure appropriate design and buy-in, and where
    appropriate, to encourage self-assessment
  • Budget for capacity assessments as an ongoing part of institutional reform and change
    management
  • Use capacity assessments to galvanize interest for change and to promote organisational
    learning and empowerment
  • Incorporate lessons learned on an ongoing basis into a capacity assessment by taking an
    iterative approach to the overall process
  • Remain flexible, ensuring optimal use of existing information sources while taking
    opportunities to build synergies with other ongoing initiatives/processes
  • Encourage an open and honest assessment process to ensure fairness and acceptance of
    the assessment’s procedures and results
Supplementary Capacity Assessment Methodologies – Select List
Methodology / Tool                            Purpose

General

Venture Philanthropy Partners (McKinsey)      Assess non-profits’ organizational capacity, including identifying strengths and areas for
Capacity Assessment Grid                      improvement, measuring changes in cpaacity over time, and drawing out different views within the
                                              organization
EFQM Excellence Model                         Comprised of nine main aspects requiring consideration in any organizational analysis, grouped into
                                              Enablers and Results
Thematic

UNDP Civil Society Organization Capacity      Assess CSO commitment to UNDP principles of participatory human development and democratic
Assessment Tool                               governance
                                              Assess CSO capacity for project management
UNDP Generic Participatory, Result-oriented   Assess in-depth the capacities of CSOs in Africa to engage in policy analysis, policy dialogue, policy
Self Assessment (PROSE) Tool for CSOs         advocacy, and the monitoring and review of the performance of public policies
engaged in policy advocacy
OECD/DAC Joint Venture on Procurement         Offer a standardized instrument which developing countries and donors can use to assess the
                                              quality and effectiveness of national procurement systems
UNDP Aid Effectiveness                        In process – adaptation of the corporate tool to support assessment of capacity to manage aid
                                              effectively
Sector

OECD/DAC Good Practice Guidance on            An analytical and participatory approaches to strategic decision-making that aim to integrate
Strategic Environmental Assessment (SEA)      environmental considerations into policies, plans and programmes and evaluate the inter linkages
                                              with economic and social considerations
UNDP GEF National Capacity Self Assessment    Assess functional capacities from an environmental perspective, as input into environmental and
                                              overall policy and programme planning
• Breakout groups
Capacity Diagnostics and Development Planning
 Capacity diagnostics provide valuable input into the formulation of capacity development policies and
 strategies, at the level of MDG-based development strategies, poverty reduction strategies and the
 CCA/UNDAF.

              Millennium Development
                                                      Poverty Reduction
              Goal-Based Development                                                          CCA and UNDAF
                                                         Strategies
                     Strategies


           Millennium Project Needs            Capacity Assessments can be            UNDP’s capacity development
           Assessment and Capacity             applied in developing the              process and “default” capacity
           Assessment are complementary        medium-term poverty reduction          assessment methodology are
           in nature.                          strategy (PRS), with capacity          mandated by UNDP.
                                               assets and needs assessed over
           Needs Assessments focus on          a shorter time horizon, and            The “default” Capacity
           “interventions,” i.e., what needs   strategic initiatives and quick        Assessment Framework can be
           to improve, and the financial       impact activities similarly            used to underpin the analysis in
           requirements to fund the            developed over a shorter time          priority areas of engagement for
           interventions.                      horizon.                               the UN in a country.

           Capacity Assessments focus on       Note: it is not possible to create a   Such would be included in a CCA
           the current and desired levels of   one-to-one relation between a          process, and the resulting
           capacity in a given enabling        capacity gap and a desired             capacity development strategies
           environment or organisation, the    poverty reduction outcome.             would be reflected in the UNDAF,
           gap between them, and most                                                 and UN common programmes or
           important, the resulting capacity                                          agency specific programmes and
           development strategies – how the                                           projects that follow.
           improvements will occur and how
           much such will cost to undertake.
Adapting the UNDP Capacity Development Process

  “Non-Negotiables”                                     Rationale

 • Capacity development process, including capacity     • Process is mandated by UNDP to improve
   assessment                                             consistency and increase impact of work


 • Definitions of capacity, capacity development and    • This content was developed in consultation with
   capacity assessment                                    internal partners (e.g., UNDG Working Group on
                                                          Capacity Development) as well as external partners
                                                          (e.g., OECD DAC GovNet)

 • Capacity development strategies                      • Similar to the capacity development process, this
                                                          content is mandated by UNDP



  Available for Adaptation                              Rationale

 • Capacity assessment framework                        • Scope and scale of the assessment (point of entry,
                                                          core issue(s) cross-cutting capacity(ies)) are
                                                          determined by the local context
                                                        • Specific questions are determined by the assessment
                                                          objectives
 • Application of the capacity development strategies   • Application is determined by the local context
Kemal Dervis‟s Statement to the Executive Board, 11 Sept 2006


    Long-term development should be a nationally led and managed process that
    builds upon existing capacity in designing and implementing effective strategies
    to further boost capacity development. Our approach in nurturing MDG-
    based national development strategies integrates capacity diagnostics
    and strategies into the heart of that process. Capacity development must
    be taken into the core of development planning, policy and financing if it
    is not to be an ineffective add-on or after-thought. Even when requested to
    do so, UNDP should operate in a way where we do not provide direct support
    services in the short to medium term without a capacity-development exit
    strategy. Here it is also important to mention the vital role that South-South
    cooperation has in capacity development, bringing as it does a unique transfer
    of skills between developing countries themselves.
The Capacity Myth
•   Capacity is often viewed as exogenous to a government or country rather than an endogenous course of
    action that builds on existing capacities and assets

•   Capacity is commonly defined in numbers of people in a given sector based on globally defined ratios of
    human resources to a given service (e.g., 1 doctor:2,500 patients) despite very different contexts

•   Lack of capacity therefore is the common refrain with much less focus on the utilisation of this capacity.

•   Capacity “building” focuses on knowledge and skills rarely strategic competencies

•   Capacity development is a simple event or series of inputs that can easily be resolved through short-term
    training often defined and delivered by external partners

•   Capacity is defined at the sectoral level, e.g., teachers, doctors, economists with often no reference to
    the relationships between and across inter-dependent sectors. Yet, development outcomes e.g. “justice
    for all” is achieved through the contributions of police, prisons, internal security, justice, etc.

•   Capacity is about the people or human resources in a country and less about the organizational systems
    and the enabling environment. And yet, where poor organizational systems exist, the utilisation of the
    human resources is often constrained
• Step 3
                                                                                         Capacity Development Process




Capacity Development Process

                                                                        Key Activities

                  Step 5:                      Step 1:                  2a. Mobilize and design
                 Monitor &                 Engage Partners
                Evaluate CD                   and Build
                 Strategies                  Consensus
                                                                        2b. Conduct the capacity
                                                                            assessment
                                                                        2c. Summarize and interpret
                                                                            results
                               Capacity
                              Developmen
                               t Process                                3a. Define capacity development
                                                          Step 2:
                                                                            strategies
        Step 4:
                                                         Assess
     Implement CD
       Strategies
                                                      Capacity Assets   3b. Define progress indicators for
                                                        and Needs
                                                                            capacity development
                                                                            strategies and capacity
                                                                            development
                               Step 3:
                              Define CD
                                                                        3c. Cost capacity development
                              Strategies                                    strategies and capacity
                                                                            development
                                                                                                                                       Capacity Development Process




     3a. Define Capacity Development Strategies
  Capacity Diagnostics:
  Needs and capacity assessments, indicators and measurement, local R&D…

  Knowledge Services and Learning:
  Large group, technical and tertiary education, on-the job skills transfer, focus groups…

  Leadership Development:
  One-on-one coaching, mentoring, management skills development…

  Institutional Reform and Change Management:
  Process facilitation, performance management, functional reviews, PAR in transitions, procurement…

  Multi-Stakeholder Engagement Processes:
  Institutional twinning, e-networks, community dialogues, integrated planning and problem analysis…

  Mutual Accountability Mechanisms:
  M&E processes, social watch, peer and partner reviews…

  Incentive Systems:
  Salary supplements, non-monetary benefits, pay and compensation...

Note: Case-driven concept notes for each capacity development strategies are expected to be published in the fourth quarter of 2006.
                                                                                                                                  Capacity Development Process




   Key Considerations and Default Principles for Capacity Development

                  Key Considerations                                                                           Default Principles*

                                                                                                 1. A long-term process which cannot be rushed

                                                                                                 2. Require respect for value systems and must
                  • Endogenous                                                                      foster self-esteem
                    process                                                                      3. A learning process without blueprints

                  • Opportune timing                                                             4. Not power neutral and challenges existing
                                                                                                    mindsets and power differentials

                  • Political economy                                                            5. Promote development and is sustainable
                    and power                                                                    6. Establish positive incentives
                    differentials
                                                                                                 7. Integrate external inputs into national priorities,
                                                                                                    processes and systems
                  • Incentives
                                                                                                 8. Build upon existing capacities rather than
                                                                                                    creating new ones
                  • A „best fit‟
                    approach                                                                     9. Stay engaged under difficult circumstances

                                                                                                 10. Remain accountable to ultimate beneficiaries



*Benchmarks for these principles are referenced in the UNDP Capacity Development Practice Note
                                                                                         Capacity Development Process




Capacity Development Process

                                                                        Key Activities

                  Step 5:                      Step 1:                  2a. Mobilize and design
                 Monitor &                 Engage Partners
                Evaluate CD                   and Build
                 Strategies                  Consensus
                                                                        2b. Conduct the capacity
                                                                            assessment
                                                                        2c. Summarize and interpret
                                                                            results
                               Capacity
                              Developmen
                               t Process                                3a. Define capacity development
                                                          Step 2:
                                                                            strategies
        Step 4:
                                                         Assess
     Implement CD
       Strategies
                                                      Capacity Assets   3b. Define progress indicators for
                                                        and Needs
                                                                            capacity development
                                                                            strategies and capacity
                                                                            development
                               Step 3:
                              Define CD
                                                                        3c. Cost capacity development
                              Strategies                                    strategies and capacity
                                                                            development
                                                              Capacity Development Process




3b. Define Progress Indicators


   Capacity development should be accompanied by indicators against
   which to measure progress. The challenge is to go beyond monitoring
   and evaluation that is project- or programme-based and viewed in
   terms of outputs, to monitoring and evaluation that is viewed in terms
   of outcomes.

   • Define indicators for capacity development strategies = output
   • Define indicators for capacity development = outcome
   • Determine baselines and set targets for each indicator
                                                                                  Capacity Development Process




3b. Define Progress Indicators



    INPUTS              OUTPUTS                     OUTCOMES             IMPACT
     Experts            Studies                    Income              Health conditions
     Equipment           completed                   increased            improved
     Funds              People trained             Jobs created        Longevity increased




   TYPE              WHAT IS MEASURED                                    INDICATORS


   CD Strategies     Effort, or products and services generated by       Implementation of
   (Output Level)    Capacity Development projects and programmes        activities


   Capacity          Development effectiveness, or results in terms of   Use of outputs and
   Development       access, usage and stakeholder satisfaction from     sustained production of
   (Outcome Level)   products and services generated by projects and     benefits
                     programmes
                                                                                         Capacity Development Process




Capacity Development Process

                                                                        Key Activities

                  Step 5:                      Step 1:                  2a. Mobilize and design
                 Monitor &                 Engage Partners
                Evaluate CD                   and Build
                 Strategies                  Consensus
                                                                        2b. Conduct the capacity
                                                                            assessment
                                                                        2c. Summarize and interpret
                                                                            results
                               Capacity
                              Developmen
                               t Process                                3a. Define capacity development
                                                          Step 2:
                                                                            strategies
        Step 4:
                                                         Assess
     Implement CD
       Strategies
                                                      Capacity Assets   3b. Define progress indicators for
                                                        and Needs
                                                                            capacity development
                                                                            strategies and capacity
                                                                            development
                               Step 3:
                              Define CD
                                                                        3c. Cost capacity development
                              Strategies                                    strategies and capacity
                                                                            development
                                                                               Capacity Development Process




3c. Cost Capacity Development Strategies and Capacity Development

  The best developed policies and programmes will go nowhere without appropriate
  funding. It is critical that the capacity development strategy options and related
  action plans are accurately costed in order for the team to realistically determine the
  extent of funding required for implementation.


  • Use input-based budgeting process for shorter-term capacity development actions
    and strategies; this is based on known, quantifiable inputs, e.g., number of
    consultant-days, number of consultation sessions, translation costs
  • Less straight-forward is the process for determining or projecting costs required
    for longer-term capacity development. If an assessment team feels that these
    costs cannot be accurately projected, it is suggested that this costing exercise be
    limited to an actual costing of inputs in order to avoid any issues of credibility or
    legitimacy


        What approaches have you used to cost capacity
       development strategies and capacity development?
              What challenges have you faced?
• CDG Content and Resources
                                                                                                          Supporting Content




UNDP Capacity Development Resources
Theoretical and Case Study Publications
•   Capacity for Development: New Solutions to Old Problems
•   Developing Capacity through Technical Cooperation
•   Ownership, Leadership, and Transformation: Can We Do Better for Capacity Development?
•   Capacity Development Strategies: Let the Evidence Speak (A Case Book) (forthcoming)
Policy and Practice Notes
•   Practice Note on Capacity Development
•   Practice Note on Capacity Assessment
•   Practice Notes on Aid Management, Procurement Capacities, Private Sector Development and PPP (forthcoming)
•   Practice Note on Localizing the MDGs (forthcoming)
                                                                                                      Supporting Content




UNDP Capacity Development Resources (cont.)
Resource Guides and Tools
• UNDP Capacity Assessment User’s Guide and Supporting Tool
• UNDP Guidelines on Direct Budget Support, SWAps & Basket Funds
• Guide on Leadership for Human Development
• Toolkit on Localising the MDGs
• Toolkit on Private Sector Development
• UNDP-LEAD Leadership Modules
• CD Resource Catalogue On Measuring Capacities: An Illustrative Guide to Benchmarks and Indicators
• A CD Guide on Applying a Human Rights-Based Approach
• Toolkit for CD in South-South Cooperation (forthcoming)
• CSO Capacity Assessment Tools (forthcoming)
CD Expert Rosters
• Database of external consultants, organisations, and agencies with CD expertise
• Sub-communities of practice, i.e. leadership, strategic planning
• www.capacity.undp.org/roster
CD Websites
• www.capacity.undp.org
• www.capacity.org
•   http://topics.developmentgateway.org/mdg
•   www.capacity.undp.org/roster
• Illustrations
                                                                                                  Step 2: Assess Capacity Assets and Needs




Illustration: Designing a Capacity Assessment                                                                        ILLUSTRATIVE


 Considerations
 1. Use the UNDP Capacity Assessment Framework as a framework for discussion
 2. Define scope and scale of capacity assessment by selecting point of entry, core issue(s) and cross-cutting functional
    capacity(ies)
 3. Focus efforts on a handful of dimensions (issues and capacities) that cover a majority of the scope and scale; although
    a capacity assessment may feasibly include all issues and capacities

 Request – Illustration #1                           Scope of Assessment

                                                    Point of Entry   Enabling environment at the national level
 Visioning and Strategic Planning
                                                    Core Issue(s)    All Core Issues
 Capacities
 “During the process of developing the              Functional       Analyse a Situation and Create a Vision
 UNDAF, a perceived gap in national-level           Capacity(ies)    Formulate Policy and Strategy
 visioning and strategic planning has been
 identified.”                                       Possible         Within the context of the enabling environment, use the capacities
                                                    Approach         as drivers of the assessment – applying both capacities to all
                                                                     relevant core issues
                                                                     Take a UN system approach, with appropriate agencies
                                                                     responsible for various core issues, e.g., UNDP manages
                                                                     Leadership, Policy & Legal Framework and Mutual Accountability
                                                                     Mechanisms; UNICEF manages Public Engagement; and UNEP
                                                                     manages Environmental Resources
                                                                                                  Step 2: Assess Capacity Assets and Needs




Illustration: Designing a Capacity Assessment                                                                        ILLUSTRATIVE


 Considerations
 1. Use the UNDP Capacity Assessment Framework as a framework for discussion
 2. Define scope and scale of capacity assessment by selecting point of entry, core issue(s) and cross-cutting functional
    capacity(ies)
 3. Focus efforts on a handful of dimensions (issues and capacities) that cover a majority of the scope and scale; although
    a capacity assessment may feasibly include all issues and capacities

 Request – Illustration #2                           Scope of Assessment

                                                    Point of Entry   Enabling environment at the national level
 Leadership and Anti-Corruption
                                                    Core Issue(s)    Leadership
 “A country is in the midst of a political
                                                                     Policy & Legal Framework
 transition. New leadership has emerged
 based on an anti-corruption platform and a                          Mutual Accountability Mechanisms
 promise of a “clean” government. The                                Public Engagement
 president must now appoint leaders capable
                                                    Functional       Engage in Multi-Stakeholder Dialogue
 of leading this effort in each of their
                                                    Capacity(ies)    Analyse a Situation and Create a Vision
 respective areas. The government has
 requested support in establishing its new          Possible         Assess the capacity to lead a national dialogue and create a vision
 leadership. ”                                      Approach         for societal development.
                                                                     May involve an assessment of the requirements of various
                                                                     leadership posts; does not however involve an assessment of any
                                                                     individual leader
                                                                     Civil service training will be a likely outcome
                                                                                                  Step 2: Assess Capacity Assets and Needs




Illustration: Designing a Capacity Assessment                                                                        ILLUSTRATIVE


 Considerations
 1. Use the UNDP Capacity Assessment Framework as a framework for discussion
 2. Define scope and scale of capacity assessment by selecting point of entry, core issue(s) and cross-cutting functional
    capacity(ies)
 3. Focus efforts on a handful of dimensions (issues and capacities) that cover a majority of the scope and scale; although
    a capacity assessment may feasibly include all issues and capacities

 Request – Illustration #3                           Scope of Assessment

                                                    Point of Entry   Enabling environment at the national level, with zoom to the sub-
                                                                     national level
 Judicial Leadership
 “Country is in the midst of a political            Core Issue(s)    Leadership – to understand abilities of executive, legislative and
 transition; among the changes are the                               judicial branches to interact and cooperate
 opening up of the justice system that had                           Policy & Legal Framework – to understand capacities to develop,
 previously been closed (justice for all instead                     put in place and manage a strong framework for equal access to
 of justice for the few). The government has                         justice
 requested support in developing a plan to
                                                                     Mutual Accountability Mechanisms – to gauge capacities to put in
 support the new justice system.”
                                                                     place mechanisms that can ensure a responsive, transparent, and
                                                                     accountable judicial system
                                                    Functional       All capacities
                                                    Capacity(ies)
                                                    Possible         Begin with a review at the national level, and then move to the
                                                    Approach         district level for a review of district courts
                                                                                                    Step 2: Assess Capacity Assets and Needs




Illustration: Designing a Capacity Assessment                                                                           ILLUSTRATIVE


 Considerations
 1. Use the UNDP Capacity Assessment Framework as a framework for discussion
 2. Define scope and scale of capacity assessment by selecting point of entry, core issue(s) and cross-cutting functional
    capacity(ies)
 3. Focus efforts on a handful of dimensions (issues and capacities) that cover a majority of the scope and scale; although
    a capacity assessment may feasibly include all issues and capacities

 Request – Illustration #4                           Scope of Assessment

                                                    Point of Entry   Organisational level (ministry) with “zoom in” to individual level to
                                                                     capture individual capacities to implement at the local level
 MDG Adaptation
 “The Minister of Education has recently been       Core Issue(s)    Human Resources – to understand teachers’ capacities at the
 granted a significant amount of ODA to                              local level and incentive systems
 adapt a national plan and implement it at the                       Financial Resources – to understand capacity to manage
 local level to address MDG #2: Achieve                              significant influx of ODA funds
 universal primary education. Assume inter-                          Public Engagement – to understand current level of family and
 ministerial coordination is well under way                          community participation in encouraging enrolment and maintaining
 and an assessment of this capacity is not                           attendance
 required.”
                                                                     Physical Resources – to gauge infrastructure in place, e.g.,
                                                                     number of schools, availability and accessibility of public transport
                                                    Functional       Formulate Policy & Strategy
                                                    Capacity(ies)    Budget, Manage and Implement
                                                    Possible         Focus on localisation of the plan, specifically ability to create a
                                                    Approach         local-level plan and capacities to implement it
                                                                                                   Step 2: Assess Capacity Assets and Needs




Illustration: Designing a Capacity Assessment                                                                         ILLUSTRATIVE


 Considerations
 1. Use the UNDP Capacity Assessment Framework as a framework for discussion
 2. Define scope and scale of capacity assessment by selecting point of entry, core issue(s) and cross-cutting functional
    capacity(ies)
 3. Focus efforts on a handful of dimensions (issues and capacities) that cover a majority of the scope and scale; although
    a capacity assessment may feasibly include all issues and capacities

 Request – Illustration #5                           Scope of Assessment

                                                    Point of Entry   Sub-national enabling environment
 Food Insecurity and
                                                    Core Issue(s)    Environmental Resources – to understand provincial capacities to
 Environmental Protection                                            manage environmental degradation
 “A province in the Sahel is experiencing
 ongoing drought, desertification and food          Functional       All capacities
 insecurity. The provincial government has          Capacity(ies)
 asked for support in developing a plan to          Possible         Start with focus on capacities to develop a plan (including
 address food insecurity and environmental          Approach         engaging multiple stakeholders, assessing the situation, and
 degradation and the link between them.”                             creating a vision and policy), but be sure to assess capacities to
                                                                     implement and monitor programme as well
                                                                                                  Step 2: Assess Capacity Assets and Needs




Illustration: Designing a Capacity Assessment                                                                         ILLUSTRATIVE


 Considerations
 1. Use the UNDP Capacity Assessment Framework as a framework for discussion
 2. Define scope and scale of capacity assessment by selecting point of entry, core issue(s) and cross-cutting functional
    capacity(ies)
 3. Focus efforts on a handful of dimensions (issues and capacities) that cover a majority of the scope and scale; although
    a capacity assessment may feasibly include all issues and capacities

 Request – Illustration #6                           Scope of Assessment

                                                    Point of Entry   Organisational level (ministry) with “zoom out” to enabling
                                                                     environment
 Programme Management
 “Minister of Public Service is responsible for     Core Issue(s)    Leadership – to understand capacities within the Ministry of Public
 managing 14 programmes housed in several                            Service to develop and give direction; to develop and implement a
 different ministries. Minister requests                             system for overall management, and to create an environment that
 support in understanding what capacities are                        motivates and supports individuals
 required to manage these multiple                                   Human Resources – to gauge capacities within partner ministries
 programmes and how to develop such                                  to programme manage, monitor and evaluate
 capacities.”
                                                    Functional       Budget, Manage and Implement
                                                    Capacity(ies)    Monitor & Evaluate
                                                    Possible         Assess capacity of individual ministries and capacity of Public
                                                    Approach         Service ministry to ensure cross-ministry coordination
• Supporting Tool Slides
                                                                                         User’s Guide and Supporting Tool




Instructions for Using the Supporting Tool

                Assess Capacity            Define CD        Define Progress
                                                                                 Cost CD Actions
               Assets and Needs        Strategies/Actions     Indicators


Instructions – Draft                           Supporting Tool Extract – Draft
The User begins in the “Step 1.
Capacity Assessment” tab. The
User selects the Core Issues and
Point of Entry using the drop down
menus (starting with cells D6 and
D9, and continuing below). The
User may select from one to all of
the core issues.       The Overall
Questions for the cross-cutting
capacities for the given cross
section of core issue and point of
entry are automatically populated in
the worksheet. The User can use
these questions, delete them,
and/or add more questions (space
currently provided for adding up to
five questions per cross-cutting
capacity in each cross-section).
                                                                           User’s Guide and Supporting Tool




Instructions for Using the Supporting Tool

          Assess Capacity       Define CD        Define Progress
                                                                   Cost CD Actions
         Assets and Needs   Strategies/Actions     Indicators


                             Supporting Tool Extract – Draft
                                                                                         User’s Guide and Supporting Tool




User‟s Guide – Instructions for Using the Supporting Tool

                Assess Capacity            Define CD        Define Progress
                                                                                 Cost CD Actions
               Assets and Needs        Strategies/Actions     Indicators


Instructions – Draft                           Supporting Tool Extract – Draft
The User moves to “Step 2. CD
Strategies” tab. The cross-cutting
capacity questions and capacity
level ratings are automatically
carried forward from the Step 1
tab – in the exact order in which
they appear in Step 1 (they cannot
be edited in Step 2). At either the
level of individual questions within
each cross-section or at the level
of the overall cross-section, the
User enters strategic initiatives
and quick impact initiatives.
                                                                                        User’s Guide and Supporting Tool




User‟s Guide – Instructions for Using the Supporting Tool

                 Assess Capacity          Define CD        Define Progress
                                                                                Cost CD Actions
                Assets and Needs      Strategies/Actions     Indicators


Instructions – Draft                          Supporting Tool Extract – Draft
The User moves to “Step 3.
Indicators” tab. The cross-cutting
capacity questions, capacity level
ratings, and strategic and quick
impact         initiatives      are
automatically carried forward from
Steps 1 and 2 – again, in the
exact order in which they appear
in those Steps. The User starts
with capacity development and
enters indicators for each target
capacity, along with baseline data
and targets.       The User then
moves to capacity development
strategies and enters indicators
for each initiative, again along
with baseline data and targets.
                                                                                     User’s Guide and Supporting Tool




User‟s Guide – Instructions for Using the Supporting Tool

                 Assess Capacity       Define CD        Define Progress
                                                                             Cost CD Actions
                Assets and Needs   Strategies/Actions     Indicators


Instructions – Draft                       Supporting Tool Extract – Draft
The User moves to “Step 4.
Cost and Prioritize” tab. The
cross-cutting         capacity
questions, capacity level
ratings, and strategic and
quick impact initiatives are
automatically carried forward
from Steps 1, 2 and 3 –
again, in the exact order in
which they appear in those
Steps. The User calculates
costs (outside of the Tool)
and enters this amount for
each capacity development
initiative.
• Variations
                                                                                         Capacity Development Process




Capacity Development Process

                                                                        Key Activities

                  Step 5:                      Step 1:                  2a. Mobilize and design
                 Monitor &                 Engage Partners
                Evaluate CD                   and Build
                 Strategies                  Consensus
                                                                        2b. Conduct the capacity
                                                                            assessment
                                                                        2c. Summarize and interpret
                                                                            results
                               Capacity
                              Developmen
                               t Process                                3a. Define capacity development
                                                          Step 2:
                                                                            strategies
        Step 4:
                                                         Assess
     Implement CD
       Strategies
                                                      Capacity Assets   3b. Define progress indicators for
                                                        and Needs
                                                                            capacity development
                                                                            strategies and capacity
                                                                            development
                               Step 3:
                              Define CD
                                                                        3c. Cost capacity development
                              Strategies                                    strategies and capacity
                                                                            development
                                                                                                          Capacity Development Process




Capacity Development Process

                                                                                         Key Activities

                                  Step 5:                       Step 1:                  2a. Mobilize and design
                                 Monitor &                  Engage Partners
                                Evaluate CD                    and Build
                                 Strategies                   Consensus
                                                                                         2b. Conduct the capacity
                                                                                             assessment
                                                                                         2c. Summarize and interpret
                                                                                             results
                                               Capacity
                                              Developmen
                                               t Process                                 3a. Define capacity development
                                                                           Step 2:
                                                                                             strategies
                  Step 4:
                                                                           Assess
               Implement CD
                 Strategies
                                                                       Capacity Assets   3b. Define progress indicators for
                                                                         and Needs*
                                                                                             capacity development
                                                                                             strategies and capacity
                                                                                             development
                                                Step 3:
                                              Define CD
                                                                                         3c. Cost capacity development
                                              Strategies*                                    strategies and capacity
                                                                                             development
* Focus of this presentation.
Capacity Development Process

                                                                                         Key Activities

                                  Step 5:                       Step 1:                  2a. Mobilize and design
                                 Monitor &                  Engage Partners
                                Evaluate CD                    and Build
                                 Strategies                   Consensus
                                                                                         2b. Conduct the capacity
                                                                                             assessment
                                                                                         2c. Summarize and interpret
                                                                                             results
                                               Capacity
                                              Developmen
                                               t Process                                 3a. Define capacity development
                                                                           Step 2:
                                                                                             strategies
                  Step 4:
                                                                           Assess
               Implement CD
                 Strategies
                                                                       Capacity Assets   3b. Define progress indicators for
                                                                         and Needs*
                                                                                             capacity development
                                                                                             strategies and capacity
                                                                                             development
                                                Step 3:
                                              Define CD
                                                                                         3c. Cost capacity development
                                              Strategies*                                    strategies and capacity
                                                                                             development
* Focus of this presentation.
                                                                                         Capacity Development Process




Capacity Development Process

                                                                        Key Activities

                  Step 5:                      Step 1:                  2a. Mobilize and design
                 Monitor &                 Engage Partners
                Evaluate CD                   and Build
                 Strategies                  Consensus
                                                                        2b. Conduct the capacity
                                                                            assessment
                                                                        2c. Summarize and interpret
                                                                            results
                               Capacity
                              Developmen
                               t Process                                3a. Define capacity development
                                                          Step 2:
                                                                            strategies
        Step 4:
                                                         Assess
     Implement CD
       Strategies
                                                      Capacity Assets   3b. Define progress indicators for
                                                        and Needs
                                                                            capacity development
                                                                            strategies and capacity
                                                                            development
                               Step 3:
                              Define CD
                                                                        3c. Cost capacity development
                              Strategies                                    strategies and capacity
                                                                            development
                                                                 Addressing Common Pitfalls




Potential Pitfalls


  •Assessment fatigue
  •Skepticism about value and validity of results emerging from a capacity
   assessment
  •Suspicion that capacity assessments are being used by senior
   management for re-profiling or retrenchment
  •Disconnect between capacity assessment and formulation of capacity
   development strategies: basing strategy formulation on “guesstimates”
   of capacity gaps
  •Facilitation level: too much may lead to “coached” outcomes; too little
   may result in a “wish list” of capacity development strategies

              What are some good practices in addressing each
                             of these issues?
Potential Pitfalls

  •Assessment fatigue
  •Skepticism about value and validity of results emerging from a
   capacity assessment
  •Suspicion that capacity assessments are being used by senior
   management for re-profiling or retrenchment
  •Disconnect between capacity assessment and formulation of
   capacity development strategies: basing strategy formulation on
   “guesstimates” of capacity gaps
  •Facilitation level: too much may lead to “coached” outcomes; too
   little may result in a “wish list” of capacity development strategies
                                                              Addressing Common Pitfalls




Potential Pitfalls

  •Assessment fatigue  “zoom in” on the issues
  •Skepticism about value and validity of results emerging from a
   capacity assessment  importance of agreement
  •Suspicion that capacity assessments are being used by senior
   management for re-profiling or retrenchment  assessments for
   overall development effectiveness
  •Disconnect between capacity assessment and formulation of
   capacity development strategies: basing strategy formulation on
   “guesstimates” of capacity gaps
  •Facilitation level: too much may lead to “coached” outcomes; too
   little may result in a “wish list” of capacity development strategies
    endogenous process, ownership
• RBA-Specific Slides
Background                                                                     RBA Adaptation

  UNDP’s Capacity Development Process and Capacity Diagnostics Methodology draw
  upon prior UNDP, UN system, and partner organisation capacity development and
  assessment documents, case studies and reviews, at the level of both the enabling
  environment and the institution. The methodology materials, consisting of the Practice
  Notes on Capacity Development and Capacity Assessment, User’s Guide and Supporting
  Tool, have benefited from a technical review provided by representatives from the Bureau
  for Development Policy as well as from the Regional Bureaux.
       Further RBA Consultations
       • RBA/CDG/SACI working session, including Cap2015, PPPUE, Governance
         and HIV Groups (June 2006)
       • Presentation to Implementation Working Group (July 2006)
       • Presentation to Millennium Project (July 2006)
       • RBA/CDG/SACI and Cap2015 working session (July 2006)

  All of the input provided has enriched both the process and the product, and we look
  forward to this being a continuous learning process for all of us.
Capacity Development Process                                                   RBA Adaptation



                                                         Phase 1:
                            Phase 5:
                                                         Engage
                            Monitor &
                                                       Partners and
                           Evaluate CD
                                                           Build
                            Strategies
                                                        Consensus




                                           Capacity
                                         Development
                                           Process
                                                                   Phase 2:
                    Phase 4:                                        Assess
                  Implement CD                                     Capacity
                    Strategies                                    Assets and
                                                                    Needs




                                          Phase 3:
                                          Define CD
                                          Strategies
Applying the UNDP Capacity Development Process                                                     RBA Adaptation


  “Non-Negotiables”                                     Rationale

 • Capacity development process, including capacity     • Process is mandated by UNDP to improve
   assessment                                             consistency and increase impact of work


 • Definitions of capacity, capacity development and    • This content was developed in consultation with
   capacity assessment                                    internal partners (e.g., UNDG Working Group on
                                                          Capacity Development) as well as external partners
                                                          (e.g., OECD DAC GovNet)

 • Capacity development strategies                      • Similar to the capacity development process, this
                                                          content is mandated by UNDP



  Available for Customization                           Rationale

 • Capacity assessment framework                        • Scope and scale of the assessment (point of entry,
                                                          core issue(s) cross-cutting capacity(ies)) are
                                                          determined by the local context
                                                        • Specific questions are determined by the assessment
                                                          objectives
 • Application of the capacity development strategies   • Application is determined by the local context
                   Day 2
             Reflections on Day 1

        Capacity Development Process
   with Illustrative Country Scenarios (cont)

Review of Supplementary Capacity Assessment
                    Tools

         Addressing Common Pitfalls
                                       Capacity Development Process




     Capacity Development Process
Phase 2c: Summarize and Interpret Results

 Phase 3a: Define Capacity Development
                Strategies

       Illustrative Country Scenario
                                    Capacity Development Process




  Capacity Development Process

Phase 3b: Define Progress Indicators

    Illustrative Country Scenario