1. Support to and Capitalization on the EU Land Governance Programme
Session on: Assessing Capacities to Improve Governance of Tenure
5th Capitalization Meeting
30 May - 01 June 2017 | Addis Ababa, Ethiopia

2. Objectives:
At the end of this session, and in the context of governance of land tenure, you will be to:
Articulate the three dimensions of capacity development (CD)
Explain the rationale for capacity assessment (CA)
Describe the capacity assessment process
Plan a CA using the CA template
Describe capacity development modalities applicable to each CD dimension

3. CD Dimensions and CA Areas

4. What is capacity development?

5. The Three Dimensions of CD
Technical capacity in the broad areas
of food and agriculture
Functional capacities to enable country actors to plan, manage and sustain change.
Capacity: "the ability of people, organizations and society as a whole to manage their affairs successfully”.
Capacity development: “the process of unleashing, strengthening and maintaining of such capacity". (OECD DAC )
Not a one-off exercise: it implies supporting a process of learning and change and hence takes time.
High engagement with national actors to support their ownership and leadership.

6. The Three Dimensions of CD
… in the context of governance of land tenure
What technical capacities?
What functional capacities?
What enabling environment?
Which organizations?
Which individuals?

7. CA: what capacity areas?
Individual dimension areas:
Knowledge
Competencies
Attitudes and behaviors
Values
Organizational dimension areas: linked to the functioning and performance of organizations, including the:
Mandates
Systems
Internal processes
Organizational priorities
Motivation and financial/non financial incentives
Collaboration and KS mechanisms
Infrastructures and equipment
Enabling environment areas: the context in which individuals and organizations work, including:
the institutional set-up of a country
implicit and explicit rules
power structures
legal, policy and political environment

8. Question & Answer

9. Capacity Assessment & Tools

10. CA Why Assess? CA needed to target intervention strategically
(starting from existing capacities and targetting the real issues of capacity)
Capacity
Development
support
Existing
capacities CA

11. Three Basic Tools of CA

12. Problem Tree Used during the planning phase of the project cycle
Helps to identify:
the cause-and-effect factors of a problem
root causes of a problem
capacities that are needed

13. Problem Tree

14. Stakeholder Mapping
Used during the formulation phase of the project cycle
Helps to:
understand the stakeholders involved in a given issue
identify whose capacities need to be strengthened, who needs to be influenced or involved and who are the potential champions

15. Stakeholder Mapping: who needs to be involved
Stakeholder Mapping: who needs to be involved? Whose capacities need strengthening?   
Opposition
 On the fence
Support
Active opponent
Passive Opponent
Passive supporter
Active supporter
High
Stakeholder
Power
Low

16. Capacity Questionnaire
Explores the three dimensions of the country capacity system
Questions are formulated around the three dimensions
Sample from VGGT CA in South Africa

17. Co Co Co Co

18. Partnerships for Context Analysis and Capacity Assessment
Problem Tree
Capacity
Assessment
Stakeholder
Analysis
The assessment will be much stronger, more legitimate and have more validity if nationally driven by local partners. Self-assessments are stronger than externally led assessments. Hence, identifying and establishing partnerships with national champions is essential.
The passive importation of techniques, controls, and beliefs, via outside agencies
and experts that run around solving everyone else’s problems, may be the
very problem of development. Henry Mintzberg (2006)

19. Partnerships: Key Part of CD Interventions
Co-assess
Co-learn
Co-act
Co-design
Adapted from Jim Armstrong, Improving International Capacity Development, 2013

20. Question & Answer

21. Capacity Assessment Approaches
Participatory /Focus Groups
Interviews
Surveys
Document Review

22. CA in Gulu, Uganda (Participatory)

23. Capacity Assessment Process

24. Participatory assessment
Define tools
Train assessors
Participatory assessment
Analyze data
Validate findings with stakeholders
Define actions
Assessment by interviews
… or other suitable approaches

25. Planning a Capacity Assessment

26. CA Planning Template

27. The Capacity Matrix Dimensions Present capacity state
Desired capacity state
How to get there (intervention)
Sequence
Individual
Organizational
Enabling Environment

28. Capacity Development Modalities/Activities

29. CA: what capacity areas?
Individual dimension areas:
Knowledge
Competencies
Attitudes and behaviors
Values
Organizational dimension areas: linked to the functioning and performance of organizations, including the:
Mandates
Systems
Internal processes
Organizational priorities
Motivation and financial/non financial incentives
Collaboration and KS mechanisms
Infrastructures and equipment
Enabling environment areas: the context in which individuals and organizations work, including:
the institutional set-up of a country
implicit and explicit rules
power structures
legal, policy and political environment

30. In your work (past and present) what capacity development modalities/activities have you implemented for each CD dimension?

31. INVENTORY OF CD MODALITIES
No single CD modality can address a need. There must be a combination of modalities with the appropriate sequencing.
Informal networks
Twinning arrangements and SSC
Review of workflow/business processes
Policy dialogue
Jobs-swap, secondments Study-visits
Knowledge exchange, KS fairs
Regional policy workshops
Organizational restructuring
High-level advocacy
Strategic planning support (e.g. drawing action plan, prioritization, goal setting)
Integration of training into national courses
Blended and learning on-the-job
Leadership coaching
Creation of multi-stakeholder platforms
Review of Organizational Mandate
F2F training and TOT, toolkit for facilitators
Remember: capacity development goes beyond training !

32. Conclusion

33. FAO CD Portal
Learning Modules
Practical Tools
Videos
Good Practices
Briefs