September 2006

1
Application of UNDPs Capacity Development
Process and Capacity Diagnostics Methodology

• September 2006

2
Context
UNDPs 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, Users 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.
3
Introduction
4
Focus of this Presentation
Capacity Diagnostics Framework
5
Assess Capacity Assets and Needs and Define
Capacity Development Strategies
Capacity Development Process
Focus of this presentation.
6
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
7
Step 2 Assess Capacity Assets and Needs
Description
Conducted along three dimensions points of
entry, core issues and functional capacities.
Existing process and framework can be applied to
any sector, e.g., health or education
Capacity Development Process
Key Activities
2a. Mobilize and design 2b. Conduct the capacity
assessment 2c. Summarize and interpret results
Focus of this presentation.
8
UNDP Default Capacity Assessment Framework
Functional Capacities
Analyze a Situation Create a Vision
Engage in Multi-Stakeholder Dialogue
Formulate Policy Strategy
Budget, Manage Implement
Monitor Evaluate
Individual
Points of Entry
Orgl
Enabling Environment
Leadership
Policy Legal Framework
Mutual Accountability Mechanisms
Public Engagement
Core Issues
Human Resources
Financial Resources
Physical Resources
Environmental Resources
Human Rights Overlay any Capacity Assessment
Technical capacities complement the functional
capacities.
9
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.
Zoom In
Zooming In and Zooming Out
Capacity Levels ?
Enabling Environment
Organisational
Individual
Zoom Out
10
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
11
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
12
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

13
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

14
Step 3 Define Capacity Development Strategies
Description
The formulation of capacity development strategy
options suggested by capacity assessment data,
evidence and analysis. Includes short to medium
(1 year ) strategic initiatives and immediate
quick impact activities (lt1 year)
Capacity Development Process
Key Activities
3a. Define capacity development strategies
3b. Define progress indicators for capacity
development strategies and capacity
development 3c. Cost capacity development
strategies and capacity development
Focus of this presentation.
15
Capacity Development Strategies

• Capacity Diagnostics
• Needs and capacity assessments, indicators and
  measurement, local RD
• 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
• ME processes, social watch, peer and partner
  reviews
• Incentive Systems

Note Case-driven concept notes for each capacity
development strategies are expected to be
published in the fourth quarter of 2006.
16
Capacity Development Process
Key Activities
2a. Mobilize and design 2b. Conduct the capacity
assessment 2c. Summarize and interpret results
Capacity Development Process
3a. Define capacity development strategies
3b. Define progress indicators for capacity
development strategies and capacity
development 3c. Cost capacity development
strategies and capacity development
Focus of this presentation.
17
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)

18
UNDP Default Capacity Assessment Framework
Comments
Functional Capacities
The Capacity Assessment Framework is flexible
enough to meet the needs of most capacity
assessment situations. It is incumbent upon a
capacity assessment team to design the framework
to suit local needs. It is not mandated that the
entire framework is used in any given
assessment.
Analyze a Situation Create a Vision
Engage in Multi-Stakeholder Dialogue
Formulate Policy Strategy
Budget, Manage Implement
Monitor Evaluate
Individual
Points of Entry
Orgl
Enabling Environment
Leadership
Policy Legal Framework
Mutual Accountability Mechanisms
Public Engagement
Core Issues
Human Resources
Financial Resources
Physical Resources
Environmental Resources
Human Rights Overlay any Capacity Assessment
Technical capacities complement the functional
capacities.
19
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 Users 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.
20
Quantitative Data vs. Qualitative Information
Quantitative Data
Qualitative Information

• Advantages
• May be seen as more legitimate than the
  qualitative element
• Easier to compare capacity levels across
  different core issues and functional capacities
• Disadvantages
• May be used for comparison purposes that are not
  valid

• Advantages
• Provides context for qualitative element
• Creates repository of institutional memory
• Disadvantages
• More difficult to compare capacity levels across
  core issues and cross-cutting capacities

21
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
• Use the UNDP Capacity Assessment Framework as a
  framework for discussion
• Define scope and scale of capacity assessment by
  selecting point of entry, core issue(s) and
  cross-cutting functional capacity(ies)
• 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

22
Illustration Designing a Capacity Assessment
23
Capacity Development Process
Capacity Development Process
Key Activities
2a. Mobilize and design 2b. Conduct the capacity
assessment 2c. Summarize and interpret results
Capacity Development Process
3a. Define capacity development strategies
3b. Define progress indicators for capacity
development strategies and capacity
development 3c. Cost capacity development
strategies and capacity development
24
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

25
Articulating Capacity Assessment Questions
Users Guide

• Contents
• Overview and Key Operational Considerations
• Assess Capacity Assets and Needs
• Define Capacity Development Strategies and
  Actions
• Questions and Indicators by Core Issue
• Annexes

A step-by-step guide to conducting a capacity
assessment Includes instructions for conducting a
capacity assessment and specifically for using
the supporting tool Includes illustrative
questions and indicators for each cross-section
of the default framework (cross section of
point of entry, core issue and functional
capacity)
26
Articulating Capacity Assessment Questions
Considerations

• Begin by leveraging questions in the Users Guide
• 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.
27
Defining Capacity Levels
Considerations

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

Levels
28
Capacity Development Process
Capacity Development Process
Key Activities
2a. Mobilize and design 2b. Conduct the capacity
assessment 2c. Summarize and interpret results
Capacity Development Process
3a. Define capacity development strategies
3b. Define progress indicators for capacity
development strategies and capacity
development 3c. Cost capacity development
strategies and capacity development
29
2c. Summarize and Interpret Results
Capacity Development Process
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

30
Illustration Interpreting the Results
Capacity Development Process

• Capacity to budget is strong across issues
• However, capacity to manage and implement may
  need improvement

31
Supporting Tool
An excel spreadsheet to support a capacity
assessment, including separate worksheets for
each step of the assessment and an overall
summary
32
Users 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

33
Users 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 Users Guide and Supporting Tool are not

34
Potential Pitfallsand Responses

• 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

35
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
  assessments procedures and results

36
Supplementary Capacity Assessment Methodologies
Select List
37

• Breakout groups

38
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.
39
Adapting the UNDP Capacity Development Process
Non-Negotiables
Rationale

• Capacity development process, including capacity
  assessment

• Process is mandated by UNDP to improve
  consistency and increase impact of work

• Definitions of capacity, capacity development and
  capacity assessment

• This content was developed in consultation with
  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

40
Kemal Derviss 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.
41
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 doctor2,500 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

42

• Step 3

43
Capacity Development Process
Capacity Development Process
Key Activities
2a. Mobilize and design 2b. Conduct the capacity
assessment 2c. Summarize and interpret results
Capacity Development Process
3a. Define capacity development strategies
3b. Define progress indicators for capacity
development strategies and capacity
development 3c. Cost capacity development
strategies and capacity development
44
Capacity Development Process
3a. Define Capacity Development Strategies

• Capacity Diagnostics
• Needs and capacity assessments, indicators and
  measurement, local RD
• 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
• ME processes, social watch, peer and partner
  reviews
• Incentive Systems

Note Case-driven concept notes for each capacity
development strategies are expected to be
published in the fourth quarter of 2006.
45
Key Considerations and Default Principles for
Capacity Development
Capacity Development Process
Default Principles
Key Considerations

• Endogenous process
• Opportune timing
• Political economy and power differentials
• Incentives
• A best fit approach

Benchmarks for these principles are referenced
in the UNDP Capacity Development Practice Note
46
Capacity Development Process
Capacity Development Process
Key Activities
2a. Mobilize and design 2b. Conduct the capacity
assessment 2c. Summarize and interpret results
Capacity Development Process
3a. Define capacity development strategies
3b. Define progress indicators for capacity
development strategies and capacity
development 3c. Cost capacity development
strategies and capacity development
47
3b. Define Progress Indicators
Capacity Development Process
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

48
3b. Define Progress Indicators
Capacity Development Process
TYPE
WHAT IS MEASURED
INDICATORS
CD Strategies (Output Level)
Implementation of activities
Effort, or products and services generated by
Capacity Development projects and programmes
Capacity Development (Outcome Level)
Development effectiveness, or results in terms of
access, usage and stakeholder satisfaction from
products and services generated by projects and
programmes
Use of outputs and sustained production of
benefits
49
Capacity Development Process
Capacity Development Process
Key Activities
2a. Mobilize and design 2b. Conduct the capacity
assessment 2c. Summarize and interpret results
Capacity Development Process
3a. Define capacity development strategies
3b. Define progress indicators for capacity
development strategies and capacity
development 3c. Cost capacity development
strategies and capacity development
50
3c. Cost Capacity Development Strategies and
Capacity Development
Capacity Development Process
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?
51

• CDG Content and Resources

52
UNDP Capacity Development Resources
Supporting Content

• 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)

53
UNDP Capacity Development Resources (cont.)
Supporting Content

• Resource Guides and Tools
• UNDP Capacity Assessment Users 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

54

• Illustrations

55
Illustration Designing a Capacity Assessment
Step 2 Assess Capacity Assets and Needs
Considerations

• Use the UNDP Capacity Assessment Framework as a
  framework for discussion
• Define scope and scale of capacity assessment by
  selecting point of entry, core issue(s) and
  cross-cutting functional capacity(ies)
• 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

Scope of Assessment
Request Illustration 1
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.
56
Illustration Designing a Capacity Assessment
Step 2 Assess Capacity Assets and Needs
Considerations

• Use the UNDP Capacity Assessment Framework as a
  framework for discussion
• Define scope and scale of capacity assessment by
  selecting point of entry, core issue(s) and
  cross-cutting functional capacity(ies)
• 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

Scope of Assessment
Request Illustration 2
Leadership and Anti-Corruption A country is in
the midst of a political transition. New
leadership has emerged based on an
anti-corruption platform and a promise of a
clean government. The president must now
appoint leaders capable of leading this effort in
each of their respective areas. The government
has requested support in establishing its new
leadership.
57
Illustration Designing a Capacity Assessment
Step 2 Assess Capacity Assets and Needs
Considerations

• Use the UNDP Capacity Assessment Framework as a
  framework for discussion
• Define scope and scale of capacity assessment by
  selecting point of entry, core issue(s) and
  cross-cutting functional capacity(ies)
• 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

Scope of Assessment
Request Illustration 3
Judicial Leadership Country is in the midst of a
political transition among the changes are the
opening up of the justice system that had
previously been closed (justice for all instead
of justice for the few). The government has
requested support in developing a plan to support
the new justice system.
58
Illustration Designing a Capacity Assessment
Step 2 Assess Capacity Assets and Needs
Considerations

• Use the UNDP Capacity Assessment Framework as a
  framework for discussion
• Define scope and scale of capacity assessment by
  selecting point of entry, core issue(s) and
  cross-cutting functional capacity(ies)
• 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

Scope of Assessment
Request Illustration 4
MDG Adaptation The Minister of Education has
recently been granted a significant amount of ODA
to adapt a national plan and implement it at the
local level to address MDG 2 Achieve universal
primary education. Assume inter-ministerial
coordination is well under way and an assessment
of this capacity is not required.
59
Illustration Designing a Capacity Assessment
Step 2 Assess Capacity Assets and Needs
Considerations

• Use the UNDP Capacity Assessment Framework as a
  framework for discussion
• Define scope and scale of capacity assessment by
  selecting point of entry, core issue(s) and
  cross-cutting functional capacity(ies)
• 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

Scope of Assessment
Request Illustration 5
Food Insecurity and Environmental Protection A
province in the Sahel is experiencing ongoing
drought, desertification and food insecurity.
The provincial government has asked for support
in developing a plan to address food insecurity
and environmental degradation and the link
between them.
60
Illustration Designing a Capacity Assessment
Step 2 Assess Capacity Assets and Needs
Considerations

• Use the UNDP Capacity Assessment Framework as a
  framework for discussion
• Define scope and scale of capacity assessment by
  selecting point of entry, core issue(s) and
  cross-cutting functional capacity(ies)
• 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

Scope of Assessment
Request Illustration 6
Programme Management Minister of Public Service
is responsible for managing 14 programmes housed
in several different ministries. Minister
requests support in understanding what capacities
are required to manage these multiple programmes
and how to develop such capacities.
61

• Supporting Tool Slides

62
Users Guide and Supporting Tool
Instructions for Using the Supporting Tool
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).
63
Users Guide and Supporting Tool
Instructions for Using the Supporting Tool
Supporting Tool Extract Draft
64
Users Guide and Supporting Tool
Users Guide Instructions for Using the
Supporting Tool
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.
65
Users Guide and Supporting Tool
Users Guide Instructions for Using the
Supporting Tool
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.
66
Users Guide and Supporting Tool
Users Guide Instructions for Using the
Supporting Tool
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.
67

• Variations

68
Capacity Development Process
Capacity Development Process
Key Activities
2a. Mobilize and design 2b. Conduct the capacity
assessment 2c. Summarize and interpret results
Capacity Development Process
3a. Define capacity development strategies
3b. Define progress indicators for capacity
development strategies and capacity
development 3c. Cost capacity development
strategies and capacity development
69
Capacity Development Process
Capacity Development Process
Key Activities
2a. Mobilize and design 2b. Conduct the capacity
assessment 2c. Summarize and interpret results
Capacity Development Process
3a. Define capacity development strategies
3b. Define progress indicators for capacity
development strategies and capacity
development 3c. Cost capacity development
strategies and capacity development
Focus of this presentation.
70
Capacity Development Process
Key Activities
2a. Mobilize and design 2b. Conduct the capacity
assessment 2c. Summarize and interpret results
Capacity Development Process
3a. Define capacity development strategies
3b. Define progress indicators for capacity
development strategies and capacity
development 3c. Cost capacity development
strategies and capacity development
Focus of this presentation.
71
Capacity Development Process
Capacity Development Process
Key Activities
2a. Mobilize and design 2b. Conduct the capacity
assessment 2c. Summarize and interpret results
Capacity Development Process
3a. Define capacity development strategies
3b. Define progress indicators for capacity
development strategies and capacity
development 3c. Cost capacity development
strategies and capacity development
72
Potential Pitfalls
Addressing Common 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?
73
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

74
Potential Pitfalls
Addressing Common 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

75

• RBA-Specific Slides

76
Background
RBA Adaptation

• UNDPs 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, Users 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.

77
Capacity Development Process
RBA Adaptation
78
Applying the UNDP Capacity Development Process
RBA Adaptation
Non-Negotiables
Rationale

• Capacity development process, including capacity
  assessment

• Process is mandated by UNDP to improve
  consistency and increase impact of work

• Definitions of capacity, capacity development and
  capacity assessment

• This content was developed in consultation with
  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

79
Day 2

• Reflections on Day 1
• Capacity Development Process
• with Illustrative Country Scenarios (cont)
• Review of Supplementary Capacity Assessment Tools
• Addressing Common Pitfalls

80
Capacity Development Process

• Capacity Development Process
• Phase 2c Summarize and Interpret Results
• Phase 3a Define Capacity Development Strategies
• Illustrative Country Scenario

81
Capacity Development Process

• Capacity Development Process
• Phase 3b Define Progress Indicators
• Illustrative Country Scenario