Application of UNDPs

Capacity Development Process and

Capacity Diagnostics Methodology

September 2006

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.

Introduction
Purpose of
Presentation

Frame capacity diagnostics within UNDPs capacity development

process
Familiarize audience with UNDPs 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
Materials

Capacity Development Practice Note

Capacity Assessment Practice Note
Capacity Assessment Users 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

Supporting Content
Users Guide and Supporting Tool

Users
Guide

Supporting Tool

Assess Capacity Assets and Needs and Define Capacity Development

Strategies

Step 5:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

Capacity
Developmen
t Process
Step 2:
Assess
Capacity Assets
and Needs*

Step 4:
Implement CD
Strategies

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
Step 5:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

Capacity
Developmen
t Process

Key Activities
Step 2:
Assess
Capacity Assets
and Needs*

Step 4:
Implement CD
Strategies

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

2a. Mobilize and design

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*

ing t
n
abl
En onme
r
i
v
En

y
ntr ividual

l
Org

Budget,
Manage &
Implement

Monitor &
Evaluate

Ind

Leadership
Policy & Legal Framework
Mutual Accountability
Mechanisms
Public Engagement
Human Resources
Financial Resources

Core Issues

ts
oin

E
of

Engage in Analyze a
Formulate
MultiSituation &
Policy &
Stakeholder Create a
Strategy
Dialogue
Vision

Physical Resources
Environmental Resources

Human Rights Overlay

any Capacity Assessment

* Technical capacities complement the functional capacities.

Primary Areas of Capacity

Assessment Focus
Specific Assessment
Questions and Indicators
Available for Each Cross
Section

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

Capacity Levels

Zoom In

Enabling
Environment

Organisational

Individual
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
Mechanisms

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

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 MultiStakeholder Dialogue

Capacity to engage and build consensus among all stakeholders, including relevant public and societal
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
and Create a Vision

Abilities to effectively access, gather, analyze and synthesize data and information, and translate it into a
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

Strategy

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

To Budget, Manage and

Implement

Process management capacities essential in the implementation of any type of policy, legislation,
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
Step 5:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

Capacity
Developmen
t Process

Step 3:
Define CD
Strategies*

* Focus of this presentation.

Key Activities
Step 2:
Assess
Capacity Assets
and Needs*

Step 4:
Implement CD
Strategies

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 (<1 year)

3a. Define capacity development

strategies
3b. Define progress indicators for
capacity development strategies
and capacity development
3c. Cost capacity development
strategies and capacity
development

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:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

2a. Mobilize and design

2b. Conduct the capacity
assessment
2c. Summarize and interpret
results

Capacity
Developmen
t Process
Step 2:
Assess
Capacity Assets
and Needs*

Step 4:
Implement CD
Strategies

Step 3:
Define CD
Strategies*

* Focus of this presentation.

3a. Define capacity development

strategies
3b. Define progress indicators for
capacity development
strategies and capacity
development
3c. Cost capacity development
strategies and capacity
development

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*

i
nt
abl
En onme
r
i
v
En

nt r

l
Org

Ind

u
ivid

al

Budget,
Manage &
Implement

Monitor &
Evaluate

Leadership
Policy & Legal Framework
Mutual Accountability
Mechanisms
Public Engagement
Human Resources
Financial Resources

Core Issues

s
i nt
o
P ng

E
of

Engage in Analyze a
Formulate
MultiSituation &
Policy &
Stakeholder Create a
Strategy
Dialogue
Vision

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.

Physical Resources
Environmental Resources

Human Rights Overlay

any Capacity Assessment

* Technical capacities complement the functional capacities.

Primary Areas of Capacity

Assessment Focus
Specific Assessment
Questions and Indicators
Available for Each Cross
Section

It is not mandated that

the entire framework
is used in any given
assessment.

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.

Quantitative Data vs. Qualitative Information

Quantitative Data

Qualitative Information

Advantages

Advantages

May be seen as more legitimate than the qualitative element

Provides context for qualitative element

Easier to compare capacity levels across different core issues and functional capacities

Creates repository of institutional memory

Disadvantages

Disadvantages

May be used for comparison purposes that are not valid

More difficult to compare capacity levels across core issues and cross-cutting 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
Capacity(ies)

Analyse a Situation and Create a Vision

Formulate Policy and Strategy

Possible
Approach

Within the context of the enabling environment, use the

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:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

2a. Mobilize and design

2b. Conduct the capacity
assessment
2c. Summarize and interpret
results

Capacity
Developmen
t Process
Step 2:
Assess
Capacity Assets
and Needs

Step 4:
Implement CD
Strategies

Step 3:
Define CD
Strategies

3a. Define capacity development

strategies
3b. Define progress indicators for
capacity development
strategies and capacity
development
3c. Cost capacity development
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 Users Guide

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)

Contents
1.Overview and Key
Operational Considerations
2.Assess Capacity Assets and
Needs
3.Define Capacity
Development Strategies and
Actions
4.Questions and Indicators by
Core Issue
5.Annexes

Articulating Capacity Assessment Questions

Considerations
1. Begin by leveraging questions in the Users 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

the Users Guide)

Do authorities have the capacity to develop integrated policies and plans linked to
resources?

Additional Questions
(from the Users Guide)

Do authorities have the capacity to formulate policies, legislations, strategies and

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

Anecdotal evidence of capacity

Partially developed capacity

Widespread, but not comprehensive, evidence of capacity

Fully developed capacity

Capacity Development Process

Capacity Development Process

Key Activities
Step 5:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

2a. Mobilize and design

2b. Conduct the capacity
assessment
2c. Summarize and interpret
results

Capacity
Developmen
t Process
Step 2:
Assess
Capacity Assets
and Needs

Step 4:
Implement CD
Strategies

Step 3:
Define CD
Strategies

3a. Define capacity development

strategies
3b. Define progress indicators for
capacity development
strategies and capacity
development
3c. Cost capacity development
strategies and capacity
development

Capacity Development Process

2c. Summarize and Interpret Results

Once the assessment has been completed for selected crosssections, 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
Issues

Budget

Manage

Implement

Avg

Leader
ship

3.4

3.0

3.2

3.2

HR

1.3

1.7

1.5

1.5

Core
Issues

Budget

Manage Implement

Avg

Leadership

4.0

1.0

1.3

2.1

HR

4.2

1.3

1.4

2.3

1. Leadership is relatively strong within all capacities assessed

2. Human resource-related capacities are less strong

1. Capacity to budget is strong across issues

2. However, capacity to 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

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

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

Potential Pitfallsand Responses

Assessment fatigue

Zoom in on the issues

Skepticism about value and validity of

results emerging from a capacity
assessment

Importance of building consensus

Suspicion that capacity assessments are

being used by senior management for reprofiling 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

Focus on the link between

assessment results and capacity
development strategies

Facilitation level: too much may lead to

coached outcomes; too little may result in
a wish list of capacity development
strategies

Endogenous process, ownership

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

Supplementary Capacity Assessment Methodologies Select List

Methodology / Tool

Purpose

General
Venture Philanthropy Partners (McKinsey)
Capacity Assessment Grid

Assess non-profits organizational capacity, including identifying strengths and areas for
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
Assessment Tool

Assess CSO commitment to UNDP principles of participatory human development and democratic
governance
Assess CSO capacity for project management

UNDP Generic Participatory, Result-oriented

Self Assessment (PROSE) Tool for CSOs
engaged in policy advocacy

Assess in-depth the capacities of CSOs in Africa to engage in policy analysis, policy dialogue, policy
advocacy, and the monitoring and review of the performance of public policies

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
Strategic Environmental Assessment (SEA)

An analytical and participatory approaches to strategic decision-making that aim to integrate

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
Goal-Based Development
Strategies

Millennium Project Needs

Assessment and Capacity
Assessment are complementary
in nature.
Needs Assessments focus on
interventions, i.e., what needs
to improve, and the financial
requirements to fund the
interventions.
Capacity Assessments focus on
the current and desired levels of
capacity in a given enabling
environment or organisation, the
gap between them, and most
important, the resulting capacity
development strategies how the
improvements will occur and how
much such will cost to undertake.

Poverty Reduction
Strategies

CCA and UNDAF

Capacity Assessments can be

applied in developing the
medium-term poverty reduction
strategy (PRS), with capacity
assets and needs assessed over
a shorter time horizon, and
strategic initiatives and quick
impact activities similarly
developed over a shorter time
horizon.

UNDPs capacity development

process and default capacity
assessment methodology are
mandated by UNDP.

Note: it is not possible to create a

one-to-one relation between a
capacity gap and a desired
poverty reduction outcome.

Such would be included in a CCA

process, and the resulting
capacity development strategies
would be reflected in the UNDAF,
and UN common programmes or
agency specific programmes and
projects that follow.

The default Capacity

Assessment Framework can be
used to underpin the analysis in
priority areas of engagement for
the UN in a country.

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

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 MDGbased 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 shortterm 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:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

2a. Mobilize and design

2b. Conduct the capacity
assessment
2c. Summarize and interpret
results

Capacity
Developmen
t Process
Step 2:
Assess
Capacity Assets
and Needs

Step 4:
Implement CD
Strategies

Step 3:
Define CD
Strategies

3a. Define capacity development

strategies
3b. Define progress indicators for
capacity development
strategies and capacity
development
3c. Cost capacity development
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

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

2. Require respect for value systems and must

foster self-esteem
3. A learning process without blueprints
4. Not power neutral and challenges existing
mindsets and power differentials
5. Promote development and is sustainable
6. Establish positive incentives
7. Integrate external inputs into national priorities,
processes and systems
8. Build upon existing capacities rather than
creating new ones
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:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

2a. Mobilize and design

2b. Conduct the capacity
assessment
2c. Summarize and interpret
results

Capacity
Developmen
t Process
Step 2:
Assess
Capacity Assets
and Needs

Step 4:
Implement CD
Strategies

Step 3:
Define CD
Strategies

3a. Define capacity development

strategies
3b. Define progress indicators for
capacity development
strategies and capacity
development
3c. Cost capacity development
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
Experts
Equipment
Funds

OUTPUTS
Studies
completed
People trained

OUTCOMES
Income
increased
Jobs created

IMPACT
Health conditions
improved
Longevity increased

TYPE

WHAT IS MEASURED

INDICATORS

CD Strategies

Effort, or products and services generated by

Capacity Development projects and programmes

Implementation of
activities

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

(Output Level)
Capacity
Development
(Outcome Level)

Capacity Development Process

Capacity Development Process

Key Activities
Step 5:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

2a. Mobilize and design

2b. Conduct the capacity
assessment
2c. Summarize and interpret
results

Capacity
Developmen
t Process
Step 2:
Assess
Capacity Assets
and Needs

Step 4:
Implement CD
Strategies

Step 3:
Define CD
Strategies

3a. Define capacity development

strategies
3b. Define progress indicators for
capacity development
strategies and capacity
development
3c. Cost capacity development
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 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

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
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.

Scope of Assessment
Point of Entry

Enabling environment at the national level

Core Issue(s)

All Core Issues

Functional
Capacity(ies)

Analyse a Situation and Create a Vision

Formulate Policy and Strategy

Possible
Approach

Within the context of the enabling environment, use the 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

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
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.

Scope of Assessment
Point of Entry

Enabling environment at the national level

Core Issue(s)

Leadership
Policy & Legal Framework
Mutual Accountability Mechanisms
Public Engagement

Functional
Capacity(ies)

Engage in Multi-Stakeholder Dialogue

Analyse a Situation and Create a Vision

Possible
Approach

Assess the capacity to lead a national dialogue and create a vision

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 subnational level

Core Issue(s)

Leadership to understand abilities of executive, legislative and

judicial branches to interact and cooperate
Policy & Legal Framework to understand capacities to develop,
put in place and manage a strong framework for equal access to
justice
Mutual Accountability Mechanisms to gauge capacities to put in
place mechanisms that can ensure a responsive, transparent, and
accountable judicial system

Functional
Capacity(ies)

All capacities

Possible
Approach

Begin with a review at the national level, and then move to the
district level for a review of district courts

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.

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

Core Issue(s)

Human Resources to understand teachers capacities at the

local level and incentive systems
Financial Resources to understand capacity to manage
significant influx of ODA funds
Public Engagement to understand current level of family and
community participation in encouraging enrolment and maintaining
attendance
Physical Resources to gauge infrastructure in place, e.g.,
number of schools, availability and accessibility of public transport

Functional
Capacity(ies)

Formulate Policy & Strategy

Budget, Manage and Implement

Possible
Approach

Focus on localisation of the plan, specifically ability to create a

local-level plan and capacities to implement it

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 interministerial coordination is well under way
and an assessment of this capacity is not
required.

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
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.

Scope of Assessment
Point of Entry

Sub-national enabling environment

Core Issue(s)

Environmental Resources to understand provincial capacities to

manage environmental degradation

Functional
Capacity(ies)

All capacities

Possible
Approach

Start with focus on capacities to develop a plan (including

engaging multiple stakeholders, assessing the situation, and
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

Core Issue(s)

Leadership to understand capacities within the Ministry of Public

Service to develop and give direction; to develop and implement a
system for overall management, and to create an environment that
motivates and supports individuals
Human Resources to gauge capacities within partner ministries
to programme manage, monitor and evaluate

Functional
Capacity(ies)

Budget, Manage and Implement

Monitor & Evaluate

Possible
Approach

Assess capacity of individual ministries and capacity of Public

Service ministry to ensure cross-ministry coordination

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.

 Supporting Tool Slides

Users Guide and Supporting Tool

Instructions for Using the Supporting Tool

Assess Capacity
Assets and Needs

Instructions 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).

Define CD
Strategies/Actions

Define Progress
Indicators

Supporting Tool Extract Draft

Cost CD Actions

Users Guide and Supporting Tool

Instructions for Using the Supporting Tool

Assess Capacity
Assets and Needs

Define CD
Strategies/Actions

Define Progress
Indicators

Supporting Tool Extract Draft

Cost CD Actions

Users Guide and Supporting Tool

Users Guide Instructions for Using the Supporting Tool

Assess Capacity
Assets and Needs

Instructions 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 crosssection or at the level of the
overall cross-section, the User
enters strategic initiatives and
quick impact initiatives.

Define CD
Strategies/Actions

Define Progress
Indicators

Supporting Tool Extract Draft

Cost CD Actions

Users Guide and Supporting Tool

Users Guide Instructions for Using the Supporting Tool

Assess Capacity
Assets and Needs

Instructions 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.

Define CD
Strategies/Actions

Define Progress
Indicators

Supporting Tool Extract Draft

Cost CD Actions

Users Guide and Supporting Tool

Users Guide Instructions for Using the Supporting Tool

Assess Capacity
Assets and Needs

Instructions 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.

Define CD
Strategies/Actions

Define Progress
Indicators

Supporting Tool Extract Draft

Cost CD Actions

 Variations

Capacity Development Process

Capacity Development Process

Key Activities
Step 5:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

2a. Mobilize and design

2b. Conduct the capacity
assessment
2c. Summarize and interpret
results

Capacity
Developmen
t Process
Step 2:
Assess
Capacity Assets
and Needs

Step 4:
Implement CD
Strategies

Step 3:
Define CD
Strategies

3a. Define capacity development

strategies
3b. Define progress indicators for
capacity development
strategies and capacity
development
3c. Cost capacity development
strategies and capacity
development

Capacity Development Process

Capacity Development Process

Key Activities
Step 5:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

2a. Mobilize and design

2b. Conduct the capacity
assessment
2c. Summarize and interpret
results

Capacity
Developmen
t Process
Step 2:
Assess
Capacity Assets
and Needs*

Step 4:
Implement CD
Strategies

Step 3:
Define CD
Strategies*

* Focus of this presentation.

3a. Define capacity development

strategies
3b. Define progress indicators for
capacity development
strategies and capacity
development
3c. Cost capacity development
strategies and capacity
development

Capacity Development Process

Key Activities
Step 5:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

2a. Mobilize and design

2b. Conduct the capacity
assessment
2c. Summarize and interpret
results

Capacity
Developmen
t Process
Step 2:
Assess
Capacity Assets
and Needs*

Step 4:
Implement CD
Strategies

Step 3:
Define CD
Strategies*

* Focus of this presentation.

3a. Define capacity development

strategies
3b. Define progress indicators for
capacity development
strategies and capacity
development
3c. Cost capacity development
strategies and capacity
development

Capacity Development Process

Capacity Development Process

Key Activities
Step 5:
Monitor &
Evaluate CD
Strategies

Step 1:
Engage Partners
and Build
Consensus

2a. Mobilize and design

2b. Conduct the capacity
assessment
2c. Summarize and interpret
results

Capacity
Developmen
t Process
Step 2:
Assess
Capacity Assets
and Needs

Step 4:
Implement CD
Strategies

Step 3:
Define CD
Strategies

3a. Define capacity development

strategies
3b. Define progress indicators for
capacity development
strategies and capacity
development
3c. Cost capacity development
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

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.

RBA Adaptation

Capacity Development Process

Phase 1:
Engage
Partners and
Build
Consensus

Phase 5:
Monitor &
Evaluate CD
Strategies

Capacity
Development
Process

Phase 4:
Implement CD
Strategies

Phase 3:
Define CD
Strategies

Phase 2:
Assess
Capacity
Assets and
Needs

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

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