Bob Bernardo UNDP Regional Centre in Bangkok November 2007 Capacity Development during Periods of Crisis/Transition JPO Course on UNDP Programming

2 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

3 Global Agreements & Corporate Guidelines relevant to Capacity Development 9. 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

4 Why the renewed Focus on CD? Trainings, exposure trips, workshops = Capacity Development

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

6 Relatively short life spans of projects and programmes

7 Too much focus on short-term results versus outcomes

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

9 Why have past approaches not shown expected results?

10 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 opportunities for important reforms…

11 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

12 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.

13 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

14 Public Sector (ministries, departments, agencies, local governments, etc.) Civil Society Organizations Other implementing partners Capacities for Whom?

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

16  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

17 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

18 The Capacity Development Framework Core Issues Points of Entry Environmental Resources Physical Resources Knowledge Mutual Accountability Leadership Financial Resources Human Resources Org’l Enabling Environmt Formulate Policy & Strategy Analyze a Situation & Create a Vision Monitor & Evaluate Budget, Manage & Implement Individual 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)

19 Capacity Development Process Project Management Cycle CD Process

20 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

21 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

22 © 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?

23 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

24 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

25 Development Issue: Human Resources Human 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 mandate 2.CDS has the capacity to develop clear policies containing objective criteria with regard to recruitment, promotion, and assignment of staff functions 3.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 particular 4.CDS has the capacity to design and implement a performance management system for its coaches/experts/consultants including performance targets, review cycles and incentives 5.CDS has the capacity to design and implement a performance management system for its staff including performance targets, review cycles and incentives Potential Indicators:  Alignment of human resources’ skills and competencies with CDS mandate and priorities  Existence and enforcement of human resource performance management policies and mechanisms  Orientation of staff functions toward producing results to fulfill CDS mandate  Alignment of training with CDS staff functions RatingStrengths 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 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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28 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

29 Step 2: Formulate Capacity Development Strategies 2.2 Leadership development Negotiation, Visioning skills, Coaching and mentoring, Ethics, Advocacy, etc.

30 Step 2: Formulate Capacity Development Strategies 2.3 Education and Learning Training methods, Tertiary education curricula Investments, Vocational education, On-the-job skills, etc.

31 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

32 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

33 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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