Capacity Development Strategies for Capacity Development Strategies for capacity development process.capacity development process.

The Capacity Assessment Framework is The Capacity Assessment Framework is composed of three dimensionscomposed of three dimensions

• Points of Entry: a country’s capacity resides on different levels – enabling environment, organization and individual – and thus needs to be addressed 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.

• (Capacity assessments at the individual level are generally conducted within the context of an organizational assessment; as such, they are not addressed in detail in the Practice Note on Capacity Assessment or this User’s Guide.)

• Core Issues: Not all of these issues will necessarily be analyzed 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:

• 1) leadership; • 2) policy and legal framework;• 3) mutual accountability mechanisms;• 4) public engagement;• 5) human resources; • 6) financial resources;• 7) physical resources; • 8) environmental resources. The issue of human rights serves

as an “overlay” on any capacity assessment.

The Capacity Assessment Framework is The Capacity Assessment Framework is composed of three dimensionscomposed of three dimensions

• Cross-Cutting Functional Capacities: Specific functional capacities are necessary for the successful creation and management of policies, legislations, strategies and programmes.

Assess Capacity Assets and NeedsAssess Capacity Assets and Needs• Understand that capacity assessment is a set of

activities, not a solution• Leverage the framework as a point of departure for

a capacity assessment – it is flexible and needs to be adapted by the assessment team to suit its specific needs/context

– Select one cross-section to all 100 cross-sections; once a point of entry has been determined, a core issue(s) or a cross-cutting functional capacity(ies) can serve as the primary driver of a capacity assessment

– Go into more depth on any given cross-section – split “Budget, Manage & Implement” into three sub-capacities

– Formulate questions as appropriate –; 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

Assess Capacity Assets and NeedsAssess Capacity Assets and Needs

• Define desired capacities prior to undertaking the assessment, as they do not emerge from a capacity assessment

• Do not necessarily expect “surprises” from the assessment, but rather confirmation and consensus

• Consider capacity assessment as a dynamic, ongoing process… not a one-time event

• Leave prioritization of investment until after the assessment of capacities has been completed

UNDP Jordan- CAP 2015 Project

Assessing and Strengthening Assessing and Strengthening National Capacities for National Capacities for

Implementing and Monitoring the Implementing and Monitoring the MDGs and Gender EqualityMDGs and Gender Equality

Capacity AssessmentCapacity Assessment

Mission Terms of ReferenceMission Terms of ReferenceMobilize and DesignMobilize and Design

• Initiate the capacity needs assessment for issues related to planning and monitoring in the context of the MDGs;

• Agree on outline of capacity development programme;

• Clarify objectives and expectations with primary clientsClarify objectives and expectations with primary clients• Identify and engage national/local stakeholders Identify and engage national/local stakeholders

throughout the process – design, assessment and throughout the process – design, assessment and summarization/interpretation – to ensure ongoing summarization/interpretation – to ensure ongoing successsuccess

Purpose of Capacity Purpose of Capacity Development InitiativeDevelopment Initiative

Assess Capacity Level • Once the objectives of the assessment have been Once the objectives of the assessment have been

articulated, the assessment team defines the scope articulated, the assessment team defines the scope and scale of the capacity assessment.and scale of the capacity assessment.

• Enhance the overall effectiveness and efficiency of planning processes in the context of the MDGs

Basic Premise Conduct the Capacity AssessmentViable capacity development strategies nurture and Viable capacity development strategies nurture and

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

• Build on earlier interventions• Based on an initial needs assessment• Learn from previous experiences• Targeted to improve work processes and enhance staff

capacities

Methodology of the Rapid Capacity Methodology of the Rapid Capacity Needs AssessmentNeeds Assessment

• Review mission of MOPIC/MOSD and undertake a brief analysis of capacity needs through interviews, desk review of documentation, previous reports, etc.

• Assess current capacities to assume planning functions;

• Identify gaps in capacity and how they should be addressed;

• Assess the effectiveness of coordination/ information dissemination within departments and other ministries;

• Identify capacity needs related to planning processes.

The Planning CycleThe Planning Cycle

line ministries and gov’t agencies prepare a list of the sectoral devp’t

projects

assessment of the

projects for final

selection (joint

committees)

Filters:• within overall vision & policy • technically & financially sound• secure financing • impact analysis and sustainability• others

Reduction of

duplication of impact

for prioritizatio

n

Compilation into an overall

development plan

Consensus building

with stakeholder

s

Resource mobilizatio

n

Monitoring and evaluation

Summarize and Interpret ResultsSummarize and Interpret Results:• Solid planning process constrained by the lack of

adequate funding and the impact of external factors;• Difficulties faced in coordinating between different

sectoral line ministries and governmental institutions;• Cross-cutting CapacityCross-cutting Capacity: Limited capacities for

planning in sectoral line ministries and governmental institutions;

• Weak institutionalization of the planning process;• Core Issues LeadershipCore Issues Leadership: Fragmentation in

project identification and selection processes, as well as weaknesses in project performance evaluation, programme impact evaluation and project monitoring;

• Core Issue-Enabling EnvironmentCore Issue-Enabling Environment: Limited institutionalization of training gained or retention or follow-up on training impact and effectiveness.

Define Capacity Development Strategies Define Capacity Development Strategies Define capacity development strategiesDefine capacity development strategiesDefine progress indicators (for capacity development Define progress indicators (for capacity development strategies and capacity development)strategies and capacity development)Cost (for capacity development strategies and Cost (for capacity development strategies and capacity development)capacity development)

Areas for Capacity Improvements-General Observations

Linking projects to the MDGs and policies;– Participatory planning;– Prioritization of needs and projects;– Key performance indicator setting/ baseline indicator

setting;– Project management, including institutionalization of

accountability measures;– Monitoring;– Evaluation of projects/ (social) impact assessments;

different types of evaluation; documentation of lessons learned and best practices

Capacity Development StrategiesCapacity Development Strategies

1.1. Capacity DiagnosticsCapacity Diagnostics Needs and capacity assessments, measurement and monitoring, advisory services, local R&D...

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

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

4.4. Institutional Reform and Change ManagementInstitutional Reform and Change Management: Results-based management, performance management systems, functional reviews, PAR in transitions, procurement services…

5.5. Multi-Stakeholder Engagement Processes: Multi-Stakeholder Engagement Processes: Process facilitation, institutional twinning, e-networks, community dialogue spaces, integrated planning and problem analysis...

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

7.7. Incentive SystemsIncentive Systems: Salary supplements, non monetary benefits, pay and compensation…

Characteristics of Capacity Characteristics of Capacity Development StrategiesDevelopment Strategies

• They take a systemic approach to the capacity assets and needs in a country,

• They require the engagement of multiple stakeholders, often across sectors, for integrated development

• They seed and support longer-term endogenous processes, and hence entail a mapping and understanding of endogenous capacities

• They guide and systemically strengthen specific skill sets in a results-based management approach (be it in a local and national setting)

• They facilitate information and knowledge sharing in the public domain, particularly to facilitate innovation and engagement on the political economy.

Areas for Capacity Improvements –General Observations

– Linkages of sectoral interventions to other sectors;

– Resource mobilization, including communication, proposal writing and project design, presentation and negotiation. This should extend to tailored training on bilateral cooperation;

– Enhancing partnerships with the private and civil society sectors

C2015/UNDP/Govt PA Planning Processes Flowchart

Enhance the effectiveness of planning processes

related to the MDGs/national

Plans

Assess capacity needs

Assess training

conducted

Assess coordination mechanisms

Outline of capacity development manuals and how-to-guides

Refinement

Manuals/how-to-

guides for strategic planning,

M&E.

AC

TIO

N P

LA

NS

Pilot testing

Rapid Brief Capacity Needs Assessment

Review departments

roles & responsibility

Integration of MDGs into planning

processes

Expected Outcomes of the Capacity Development Intervention

Use resources efficiently

Enhance staff

capabilities

Improve work

processes

Learning

Reduce time and

duplication

Capitalize on staff

capacitiesInstitutionalize

Capacity Development plan

AC

TIO

N P

LA

NS

TEAM WORK

Strategic Planning ProcessesStrategic Planning ProcessesNational plans,

MDGs, SHD, context

Sectoral linkages

Gender mainstreamin

g

Planning Planning ProcessesProcesses

Identification of existing

situation

Definitionof objectives

Identificationof options

Selection ofoptions

Planning of Execution

Monitoring & Evaluation

Prioritizationfiltering

Project CycleProject CyclePlanning Processes

Monitoring &evaluation

Problem tree analysis

project costing and budgeting

The logical frame matrix

Project Project CycleCycle

Stakeholders analysis

Gender mainstrea

ming

Impact assessmen

t

Results based

management

Time planning

Capturing best

practices. Project Planning

Reporting

Performance Indicators

Indicators definitions

Project identification and selection

Planning Processes

Project Cycle

Aid Aid CoordinationCoordination

Negotiation skills

Partnership building

Proposal writingPresentation

skills

Communication skills

Aid Coordination (Desired but will not be Aid Coordination (Desired but will not be included in the manual)included in the manual)

Problem Solving

Define Progress Indicators

• Define indicators for capacity development strategies = output

• Define indicators for capacity development = outcome

• Determine baselines and set targets for each indicator

The Results Chain – from UNDP Handbook on Monitoring and Evaluating for Results