1. Tbilisi, Georgia, September 2006
UNDP and
CAPACITY DEVELOPMENT
Tbilisi, Georgia, September 2006

2. Capacity Development Definitions
Process whereby people, organisations and society as a whole unleash, strengthen, create, adapt and maintain capacity over time (OECD/DAC)
Process of strengthening the abilities of individuals, organizations and societies to make effective use of the resources, in order to achieve their own goals on a sustainable basis (GTZ)
Activities, approaches, strategies, and methodologies which help organizations, groups and individuals to improve their performance, generate development benefits and achieve their objectives (CIDA)
Process of increasing the effectiveness and efficiency with which a country mobilizes and uses resources to identify, achieve, and sustain its development objectives (World Bank)

3. The Shift in Paradigm to a Capacity Development Approach
UNDP Definition of Capacity Development:
Capacity is the ability of individuals, institutions, and societies to perform functions, solve problems, and set and achieve objectives in a sustainable manner.
Capacity development is the process through which the abilities to do so are, strengthened, adapted and maintained over time.
Facilitating access to knowledge
Capacity
Development
Technical
Assistance
Brokering multi-stake-holder agreements
Participating in policy dialogue & advocacy
Providing incremental resources
Creating space for learning by doing
Supply Driven
Demand Driven
MD/MDG Framework
Input-based
Outcome-based
(Transformative)

4. A Systems Approach: The Three Layers of Capacity Development
Individual level
(experience, knowledge
& technical skills)
Enabling environment
(institutional framework,
power structure & influence)
Organisational level
(systems, procedures
& rules)
Deepening effective and accountable state-citizen engagement
Successful capacity development requires not only skills & organizational procedures, but also incentives & good governance

5. Key Considerations and Default Principles for CD
A long-term process which cannot be rushed
2. Require respect for value systems and must
foster self-esteem
A learning process without blueprints
Not power neutral and challenges existing
mindsets and power differentials
Promote development and is sustainable
Establish positive incentives
Integrate external inputs into national priorities,
processes and systems
Build upon existing capacities rather than
creating new ones
Stay engaged under difficult circumstances
Remain accountable to ultimate beneficiaries
Endogenous
process
Opportune timing
Political economy and power differentials
Incentives
A ‘best fit’ approach
*Benchmarks for these principles are referenced in the UNDP Capacity Development Practice Note

6. Capacity Development Process
UNDP Capacity Development Process Steps
Capacity Development Process

7. UNDP Capacity Assessment Default Tool
Illustrative Questions and Indicators:
Questions:
Do authorities have the capacity to:
Develop accountability mechanisms that ensure multi-stakeholder participation?
Engage domestic and external stakeholders in the process of developing national and local accountability mechanisms?
Publish procedures and criteria for administrative decisions in local language(s)?
Indicators:
Existence and effectiveness of dialogue mechanisms (and other links as appropriate) among domestic institutions.
Existence of “citizen charters” (or similar undertakings) that establish the obligations of service providers and the rights of users.

8. Capacity Diagnostics and Strategies
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...

9. Three Results Areas for the Capacity Development Group
Supporting National Capacity Development Strategies
(IPS Pillar 2)
Aligning Global Efforts on Capacity Development
(IPS Pillar 1)
Localising the MDGs
(IPS Pillar 3)
CD Mainstreaming
Capacity indicators for results reporting (MYFF) and resource allocation
CD analysis in Practice Areas
Role of UN in national capacity development strategies
CD Policy & Strategies
Training and learning
Networking & partnering
Leadership development
Institutional reform and change management
Incentive systems
Accountability mechanisms
Integrated planning
Procurement and
service delivery
Capacity 2015: Localising the MDGs
Empowering local communities
Strengthening local capacities for integrated planning
Facilitating capacity investments for service delivery
Codifying local knowledge
CD Diagnostics
Diagnostics of the systemic level/enabling environment
Default methodologies for capacity assessments
CD indicators and monitoring
Operational Policies and Procedures
UN reform and coordination
Results-based management (RBM)
Simplification and harmonisation
Aid Effectiveness
Aid management and donor coordination
Capacity for different aid modalities, i.e. direct budget support, pooled funds
OECD/DAC process and implementation of the Paris Declaration
Private Sector Development
Public-private partnership brokering
Enabling environment for local PSD
Local private sector capacity assessments
Public-Private Partnerships for the Urban Environment (PPPUE)
Reducing poverty through public-private partnerships
Increasing access of the urban poor to basic services such as water
Global Learning Network
CD NETWORKS AND KNOWLEDGE
CD resources, products, and tools Best practice codification and dissemination
Knowledge networks CD expert rosters
Regional information, learning, and networking facilities

10. Capacity 2015: Going Local
Strengthening local capacities for integrated planning and MDG strategies for local development
Capacity development quick-impact initiatives Facilitation of transparent community M&E
Support to decentralisation policies, local governance
Strengthening local procedures, institutional arrangements and incentive mechanisms
EXAMPLES: Syria, Jordan, Sierra Leone
Empowering local communities through participatory policy dialogue and strategy options on the MDGs
Promotion of community
Skills building
Facilitation of local level needs assessments
Strengthening local and community engagement and partnerships
EXAMPLES: Armenia, Bulgaria, Thailand
Facilitating capacity investments in institutions of local service delivery
Supporting the capacities of local businesses Training of local officials on strategies, institutional and legal frameworks
Supporting resilience building in small islands
Facilitating more efficient local level coordination
EXAMPLES: SIDS Resilience Building Facility, Timor Leste, Afghanistan
Codifying local knowledge, promoting learning and experience sharing at local levels
Facilitation of practical integrated information systems
Review, updating and application of tools for local level capacity assessments and leadership development.
Empowerment of communities through the promotion of peer-to-peer learning and knowledge exchanges
EXAMPLES: Europe&CIS Information & Learning Network, Africa Local Level Information Systems

11. Regional Face of Capacity 2015
Africa
Enhancing service delivery capacity related to agriculture and basic services
Local level information systems (LIIS) supporting community access to information
Linking local level needs to technical and tertiary education
Arab States
Skills development and political empowerment of women leaders
MDG-based strategic planning and statistical literacy capacity at the local level
Participatory MDG-based reporting and monitoring at sub-national levels
Asia & Pacific
Change management and leadership training for young leaders
Capacity Development Facilities for post-crisis public sector management and service delivery
Adaptation of capacity diagnostic tools and their application to state building
Europe & CIS
MDG-based local development planning for EU accession
Strengthening capacity of municipalities in integrated approaches to implement decentralisation
Capacity Development Facilities in countries to support political transitions
Latin America & Caribbean
Monitoring and tracking capacity development in procurement and service delivery
Local leadership development and networking
Mapping regional indigenous capacities and empowerment of local indigenous bodies

12. UNDP Capacity Development Resources
CD Policy Notes
Practice Note on Capacity Development
Practice Note on Capacity Assessments
CD Resource Guides and Tools
UNDP Capacity Assessment User’s 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 Research
Capacity for Development: New Solutions to Old Problems
Developing Capacity Through Technical Cooperation
Ownership, Leadership, and Transformation: Can We Do Better for Capacity Development?
CD Resource Catalogue On Measuring Capacities: An Illustrative Guide to Benchmarks and Indicators

13. UNDP Capacity Development Resources cont…
CD Expert Rosters
Database of external consultants, organisations, and agencies with CD expertise
Sub-communities of practice, i.e. leadership, strategic planning
CD Websites
Forthcoming Resources in the 5 Categories Above
VDA E-Learning Modules on Capacity Development
A CD Guide on Applying a Human Rights-Based Approach
Toolkit for CD in South-South Cooperation
CSO Capacity Assessment Tools
Practice Notes on Aid Management, Procurement Capacities, Private Sector Development & PPP

14. Capacity Development Process
UNDP Capacity Development Process Step 1
Capacity Development Process
Step 1: Engage Partners and Build Consensus
Identify all relevant stakeholders and engage them in the capacity development process
Support local dialogue processes that focus on the agreed CD framework
Build consensus through negotiation and dialogue and on the how, the what, and the who does what

15. Capacity Development Process
UNDP Capacity Development Process Step 2
Capacity Development Process
Step 2: Assess Capacity Assets and Needs
Mobilize and design the capacity assessment exercise by adapting UNDP’s “default” capacity assessment framework to local needs, determining how the assessment will be conducted and costing the exercise
Conduct the capacity assessment by defining desired capacities and capacity levels, articulating questions to understand existing capacity assets and assessing each capacity level
Summarize and interpret capacity assessment results

16. Capacity Development Process
UNDP Capacity Development Process Step 3
Capacity Development Process
Step 3: Define Capacity Development Strategies
Define capacity development strategies and the required data and analysis that supports them
Define progress indicators for capacity development strategies and capacity development
Cost capacity development strategies and capacity development

17. Capacity Development Process
UNDP Capacity Development Process Step 4
Capacity Development Process
Step 4: Implement Capacity Development Strategies
Set up national and local programme and advisory teams that will guide and manage application of the strategies
Facilitate the lead institutions and networks of relevant service delivery agents to perform their functions
Introduce techniques for efficient project financial management, as well as leadership and change management

18. Capacity Development Process
UNDP Capacity Development Process Step 5
Capacity Development Process
Step 5: Monitor & Evaluate Capacity Development Strategies
Conduct short-term monitoring based on the agreed CD progress indicators
Ensure results feed into results-based management systems
Conduct impact evaluations of the capacity development programmes