UNDP and CAPACITY DEVELOPMENT

Tbilisi, Georgia, September 2006

Capacity Development Definitions Capacity Development:

•

Process whereby people, organisations and society as a whole unleash, strengthen, create, adapt and maintain capacity over time (OECD/DAC)

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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)

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Activities, approaches, strategies, and methodologies which help organizations, groups and individuals to improve their performance, generate development benefits and achieve their objectives (CIDA)

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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)

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.

Supply Driven Technical Assistance

Input-based Facilitating access to knowledge Brokering multi stake-holder agreements Participating in policy dialogue & advocacy Providing incremental resources Creating space for learning by doing

Capacity Development Demand Driven

Outcome-based (Transformative) MD/MDG Framework

A Systems Approach: The Three Layers of Capacity Development

Individual level

(experience, knowledge & technical skills)

Deepening effective and accountable state-citizen engagement

Organisational level

(systems, procedures & rules)

Enabling environment

(institutional framework, power structure & influence)

Successful capacity development requires not only skills & organizational procedures, but also incentives & good governance

Key Considerations and Default Principles for CD

Key Considerations

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Endogenous process

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Opportune timing

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Political economy and power differentials

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Incentives

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A ‘best fit’ approach Default Principles* 1. A long-term process which cannot be rushed 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

UNDP Capacity Development Process Steps

Capacity Development Process

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.

Capacity Diagnostics and 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...

Three Results Areas for the Capacity Development Group

Aligning Global Efforts on Capacity Development (IPS Pillar 1) 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 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

Supporting National Capacity Development Strategies (IPS Pillar 2) 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

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

Localising the MDGs (IPS Pillar 3) Capacity 2015: Localising the MDGs

 Empowering local communities  Strengthening local capacities for integrated planning  Facilitating capacity investments for service delivery  Codifying local knowledge

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

Capacity 2015: Going Local

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

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

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

Regional Face of Capacity 2015

• • • • •

Africa

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Enhancing service delivery capacity related to agriculture and basic services

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Local level information systems (LIIS) supporting community access to information

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Linking local level needs to technical and tertiary education Arab States

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Skills development and political empowerment of women leaders

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MDG-based strategic planning and statistical literacy capacity at the local level

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Participatory MDG-based reporting and monitoring at sub-national levels Asia & Pacific

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Change management and leadership training for young leaders

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Capacity Development Facilities for post-crisis public sector management and service delivery

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Adaptation of capacity diagnostic tools and their application to state building Europe & CIS

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MDG-based local development planning for EU accession

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Strengthening capacity of municipalities in integrated approaches to implement decentralisation

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Capacity Development Facilities in countries to support political transitions Latin America & Caribbean

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Monitoring and tracking capacity development in procurement and service delivery

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Local leadership development and networking

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Mapping regional indigenous capacities and empowerment of local indigenous bodies

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

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 • www.capacity.undp.org/roster

CD Websites

• www.capacity.undp.org

• • • www.capacity.org

http://topics.developmentgateway.org/mdg www.capacity.undp.org/roster

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

UNDP Capacity Development Process Step 1

Step 5:

Monitor & Evaluate CD Strategies

Step 4:

Implement CD Strategies

Capacity Development Process Step 3:

Define CD Strategies

Step 1:

Engage Partners and Build Consensus

Step 2:

Assess Capacity Assets and Needs

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

UNDP Capacity Development Process Step 2

Step 5:

Monitor & Evaluate CD Strategies

Step 4:

Implement CD Strategies

Capacity Development Process Step 3:

Define CD Strategies

Step 1:

Engage Partners and Build Consensus

Step 2:

Assess Capacity Assets and Needs

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

UNDP Capacity Development Process Step 3

Step 5:

Monitor & Evaluate CD Strategies

Step 4:

Implement CD Strategies

Capacity Development Process Step 3:

Define CD Strategies

Step 1:

Engage Partners and Build Consensus

Step 2:

Assess Capacity Assets and Needs

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

UNDP Capacity Development Process Step 4

Step 5:

Monitor & Evaluate CD Strategies

Step 4:

Implement CD Strategies

Capacity Development Process Step 3:

Define CD Strategies

Step 1:

Engage Partners and Build Consensus

Step 2:

Assess Capacity Assets and Needs

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

UNDP Capacity Development Process Step 5

Step 5:

Monitor & Evaluate CD Strategies

Step 4:

Implement CD Strategies

Capacity Development Process Step 1:

Engage Partners and Build Consensus

Step 2:

Assess Capacity Assets and Needs

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

Step 3:

Define CD Strategies