Bob BernardoUNDP Regional Centre in Bangkok

November 2007

Capacity Development during

Periods of Crisis/Transition

JPO Course on UNDP Programming

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Portrait Gallery

• Create a portrait of yourself inside the frame

• Write your name/nickname under your photo

• Indicate your ‘age’ (years with UN) • Country of assignment

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Global Agreements & Corporate Guidelines relevant to

Capacity Development9. Recognizes that support to capacity development constitutes the overarching contribution of UNDP in assisting the efforts of programme countries to achieve internationally agreed development goals, including the MDGs and underlines that the emphasis of capacity building includes institutional and human capacity building in accordance with their national plans and strategies

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Why the renewed Focus on CD?

Trainings, exposure trips, workshops = Capacity Development

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Capacity development is too abstract => What does it really mean?

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Relatively short life spans of projects and programmes

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Too much focus on short-term results versus outcomes

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With trainings, workshops and exposure trips, are we really reaching our CD

goals?

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Why have past approaches not shown

expected results?

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Capacity Characteristics in Transition/Crisis Countries

• Weak state structures and lack of accountability

• Excessive centralization (e.g., one party rule) and limited authority for local governments

• Politicized and parallel bureaucracies (in-fighting and lack of shared vision for long-term directions)

• Civil service of limited functionality (inadequate incentive systems); low quality public service unresponsiveness to people’s needs

• Need to address both institutional dimensions (unclear/overlapping mandates, bureaucratic processes, poor oversight mechanisms, weak client orientation, etc.) AND human dimensions (poorly qualified, badly paid, wrong number, inefficiently allocated civil servants)

…. crises can present opportunitiesfor important reforms…

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The UNDP Approach to Capacity Development

• Provides an endogenous process that fosters ownership

• Brings rigor and a systematic method for assessing existing capacity assets and needs; avoids ad hoc identification of capacity needs

• Provides a comprehensive view of the issues that could be addressed in a capacity assessment

• Provides a method for generating quantitative as well as qualitative data to support the identification of priority capacity needs and the development of a capacity development response strategies

• Makes sense of complex development situations, when it is not always obvious where best to intervene to promote capacity development

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UNDP Definitions Related to Capacity

Capacity: the ability of individuals, institutions, and societies to perform

functions, solve problems, and set and achieve objectives in a

sustainable manner.

Capacity Development: the process through which the abilities to do so

are obtained, strengthened, adapted and maintained over time.

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.

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Individual level(experience, knowledge

& technical skills)

Individual level(experience, knowledge

& technical skills)

Enabling environment(institutional framework,

power structure & influence)

Organisational level(systems, procedures

& rules)

Successful capacity development requires not only skills & organizational procedures, but also incentives & good governance

Deepening effective and accountable state-citizen engagement

A Systems Approach: The Three Layers of Capacity Development

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• Public Sector (ministries, departments, agencies, local governments, etc.)

• Civil Society Organizations

• Other implementing partners

Capacities for Whom?

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Capacities for What?

• Technical Capacities – associated with particular areas of professional expertise or knowledge (e.g., agricultural extension, health, education)

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Engage in Multi-Stakeholder Dialogue Assess a Situation and Create a Vision Formulate Policy and Strategy Budget, Manage and Implement Monitor and Evaluate

• Functional Capacities – activities associated with the formulation, implementation and evaluation of policy, programmes and projects; relevant in all situations irrespective of sector/organization

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Core Development Issues

• Institutional Development – ensuring effectively functioning national/local institutions for societal, economic, and human development (e.g., mission and strategy, business processes, human resources, physical resources)

• Leadership – fostering good leadership maximizes capacity investments

• Knowledge – CD is underpinned by knowledge or what people know

• Mutual Accountability – efficient, responsive, transparent and accountable public administration key to sustainable development

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The Capacity Development Framework

Co

re I

ssu

es

Points of Entry

Environmental Resources

Physical Resources

Knowledge

Mutual Accountability

Leadership

Financial Resources

Human Resources

Org’lEnabling

Environmt

Formulate Policy & Strategy

Analyze a Situation & Create a Vision

Monitor & Evaluate

Budget, Manage & ImplementIndividual

Engage in Multi-

Stakeholder Dialogue

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

Institutional Development

Human Rights Based Approach Overlays Any Capacity Assessment

* Technical capacities complement the functional capacities.

Technical Capacities+

Functional Capacities (within a Sector/Theme Context)

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Capacity Development Process

Step 2: Formulate

Project Design,

Strategy and Workplan

Step 3:Implement

Project

Step 1:Situation

Analysis/SH Consensus on Project Need

Step 4:Monitor & Evaluate Project

Project Management

Cycle

Step 2: Formulate

CD Strategies

Step 3:Implement CD Plan

Step 1:Assess CD

Needs

Step 4:Monitor & Evaluate

CD Strategies CD

Process

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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

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Step 1. Conducting a Capacity Assessment

The Capacity Assessment Team

Your CA Dream Team – experts on:• national/local context; • specific content or sector under

assessment; and • capacity assessment

methodology. An assessment “owner” (Government/Primary Client) to drive the CA process

A Facilitator (UNDP CO) to manage the overall process and liaise between CA team and client

A Team Leader (UNDP/Consultant) to manage and guide the technical CA processes

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© Scott Maxwell, Big Stock Photo.

Why do we want a CA? objectives, expectations, roles, use of results

Who should we involve (internals/externals)?

Whose capacity and for what? scale/scope

What CA process is most appropriate? (self-assessment vs FGDs and KIIs)

Step 1. Conducting a Capacity Assessment

What organization or which level is the most appropriate entry point for a CA?

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Capacity Self-Assessments

…… the capacity assessment worksheets

• CA worksheets serve as the main tool for the self-assessment• defines the core issue, functional capacity, and capacity

indicators and rates the capacity levels• the capacity statements or indicators further adapts the tool to

local needs and development contexts (poverty? Governance? CPR?)

• CA team prepares the worksheets and indicators in close consultation with the client

• Language translation issues

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Capacity ratings:

1 Very low (No evidence of relevant capacity)2 Low (Anecdotal evidence of capacity)3 Medium (Partially developed capacity; e.g.,

policies/documents exist; partial implementation)4 High (Widespread, but no comprehensive evidence of

capacity, e.g., full implementation of policies/documents)5 Very high (Fully developed capacity, e.g., full

implementation, active M&E feeds inputs back into system)

You may want to define your own, commonly understood capacity levels

Capacity Self-Assessments

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Development Issue: Human ResourcesHuman resource capacities are at the heart of enhancing human development. Understanding and enhancing human resource capacities of CDS is crucial to ensure efficient, effective and accountable programme budgeting, management and implementation.

Please indicate a capacity rating for each guide statement:

1.CDS has sufficient human resource capacity, e.g., skills and competencies to fulfill its mandate2.CDS has the capacity to develop clear policies containing objective criteria with regard to recruitment, promotion, and assignment of staff functions3.CDS has the capacity to maintain a roster and referral system of experts/ coaches to deploy as necessary to respond to the needs of the Afghan civil service in general, and the CAP/AEP/LEP in particular4.CDS has the capacity to design and implement a performance management system for its coaches/experts/consultants including performance targets, review cycles and incentives5.CDS has the capacity to design and implement a performance management system for its staff including performance targets, review cycles and incentivesPotential Indicators:Alignment of human resources’ skills and competencies with CDS mandate and prioritiesExistence and enforcement of human resource performance management policies and mechanismsOrientation of staff functions toward producing results to fulfill CDS mandateAlignment of training with CDS staff functions

Rating Strengths

Areas for Improvement

Evidence

Score/Rating: 1 Very Low No evidence or only anecdotal evidence of a strategy/approach. 2 Low A strategy/approach exists. 3 Medium The strategy is planned and implemented. 4 High A strategy/approach is planned, implemented and reviewed on the basis of benchmarking data and adjusted accordingly. 5 Very High An approach is planned, implemented, reviewed on the basis of benchmarking data, adjusted and fully integrated into the organisation.

Write Rating/Score that Best Reflects Current Capacity for Managing Human Resources

Write Rating/Score that Best Reflects Expected Capacity (in 2010) for Managing Human Resources

Sample Assessment Worksheet

2.0 2.5

• quality coaches deployed; roster and referral systems exist

• well motivated staff• competent of CDS

staff• HR systems in place

• More effective performance evaluation system

• Designing effective CD plans

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1

2

2

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Step 2: Formulate Capacity Development Strategies

2.1 Institutional Change and Incentives • Functional Reviews• Incentives/Salary reform, • Business processes, including project management and procurement capacities, etc.

• Process facilitation for change management

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Step 2: Formulate Capacity Development Strategies

2.2 Leadership development

Negotiation, Visioning skills, Coaching and mentoring, Ethics, Advocacy, etc.

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Step 2: Formulate Capacity Development Strategies

2.3 Education and Learning

Training methods, Tertiary education curricula Investments, Vocational education, On-the-job skills, etc.

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Step 2: Formulate Capacity Development Strategies

2.4 Accountability and Voice Mechanisms Peer reviews, Citizen watch, Monitoring and evaluation, Stakeholder feedback and forums Public information campaigns Group engagement techniques

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Step 3/4: Cost and Monitor Capacity Development Strategies

• Critical that capacity development strategy options and related action plans are accurately costed to determine required funding

• Input-based budgeting process for shorter-term capacity development actions and strategies

• Input-based budgeting is based on known, quantifiable inputs.• Less straight-forward projecting costs required for longer-term

capacity development. • Track and monitor progress based on established CD baselines

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Policy and Programme Implications

• Stronger advocacy role• Mentoring/coaching role • Allocate time….• Allocate resources….• Revisit regularly…….set intervals• Plan over multiple project cycles• Be aware that these remain micro-reforms• NEX, Sector support, Budget support national

implementation capacities

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www.capacity.undp.org