FrequentlyAskedQuestions: TheUNDPApproachtoSupporting CapacityDevelopment

Step1: Engage stakeholders oncapacity development Step2: Assess capacity assetsand needs

Step5: Evaluate capacity development

Capacity Development Process

CapacityDevelopmentGroup BureauforDevelopmentPolicy UnitedNationsDevelopmentProgramme June2009

Step4: Implementa capacity development response

Step3: Formulatea capacity development response

FrequentlyAskedQuestions:TheUNDPApproachtoSupporting CapacityDevelopment
ThequestionsinthisdocumenthavebeenraisedbyUNDPcolleaguesandpartnersduringthemany capacitydevelopmentinitiativesaroundtheworldinwhichUNDPhasbeeninvolved.Theanswersare basedonUNDPsexperienceandresearchandreflecttheUNDPapproachtosupportingcapacity development. Clickonaquestiontoviewtheanswer. 1. HowdoesUNDPdefinecapacitydevelopment? 2. 3. 4. 5. 6. 7. 8 9. Whatisthedifferencebetweencapacitydevelopmentandcapacitybuilding? Howdoescapacitydevelopmentrelatetohumandevelopment? HowdoescapacitydevelopmentrelatetotheMillenniumDevelopmentGoals? Whatsnewaboutcapacitydevelopment? HowhasUNDPssupporttocapacitydevelopmentevolved? WhatisUNDPscomparativeadvantageinsupportingcapacitydevelopment? Whatarethethreelevelsofcapacityandhowdotheyrelate? Howdofunctionalandtechnicalcapacitiesrelateinacapacitydevelopmentresponse?

10. Whatdothecoreissuesrepresent? 11. Whatisthecapacitydevelopmentprocess? 12. Howdoesthecapacitydevelopmentprocessrelatetoanationalplanningorprogrammingcycle? 13. Wheretofindmoreinformationaboutintegratingcapacitydevelopmentintoprogramming? 14. Whatisanationalcapacitydevelopmentfacility? 15. Whatisanationalcapacitydevelopmentstrategyorframework? IfyouwouldliketolearnmoreaboutUNDPsapproachtosupportingcapacitydevelopment,youmay consultthebrochureSupportingCapacityDevelopment:TheUNDPApproachandtheUNDPPractice NotesonCapacityDevelopmentandCapacityAssessment.UNDPstaffmayalsotaketheselfpaced onlinecoursesonCapacityDevelopmentandCapacityAssessmentthatareavailablethroughtheUNDP LearningManagementSystem.

 1. HowdoesUNDPdefinecapacitydevelopment? UNDPdefinescapacitydevelopmentastheprocessthroughwhichindividuals,organizationsand societiesobtain,strengthenandmaintainthecapabilitiestosetandachievetheirowndevelopment objectivesovertime. Despitesomevariation,thereisgeneralconsensusamongdevelopmentpractitionersonthekey elementsofthedefinitionofcapacitydevelopment. OECD:Theprocessbywhichindividuals,groupsandorganisations,institutionsandcountriesdevelop, enhanceandorganisetheirsystems,resourcesandknowledge;allreflectedintheirabilities,individually andcollectively,toperformfunctions,solveproblemsandachieveobjectives.(GlossaryofStatistical Terms,downloaded,April2009) GTZ:theprocessofstrengtheningtheabilitiesorcapacitiesofindividuals,organisationsandsocietiesto makeeffectiveandefficientuseofresources,inordertoachievetheirowngoalsonasustainablebasis. (GTZ,downloaded,16April2009) JICA:Theongoingprocessofenhancingtheproblemsolvingabilitiesofdevelopingcountriesbytaking intoaccountallthefactorsattheindividual,organizational,andsocietallevels.(JICA,November2007) 2. Whatisthedifferencebetweencapacitydevelopmentandcapacitybuilding? Capacitydevelopmentcommonlyreferstotheprocessofcreatingandbuildingcapacitiesandtheir (subsequent)use,managementandretention.Thisprocessisdrivenfromtheinsideandstartsfrom existingcapacityassets. Capacitybuildingcommonlyreferstoaprocessthatsupportsonlytheinitialstagesofbuildingor creatingcapacitiesandisbasedonanassumptionthattherearenoexistingcapacitiestostartfrom.Itis thereforelesscomprehensivethancapacitydevelopment.TheOECD/DACwritesthatcapacitybuilding suggestsaprocessstartingwithaplainsurfaceandinvolvingthestepbysteperectionofanew structure,basedonapreconceiveddesign.Experiencesuggeststhatcapacityisnotsuccessfully enhancedinthisway.Capacitybuildingcanberelevanttocrisisorimmediatepostconflictsituations whereexistingcapacityhaslargelybeenlostduetocapacitydestructionorcapacityflight. 3. Howdoescapacitydevelopmentrelatetohumandevelopment?1 Thehumandevelopmentapproachwithitsfocusontheexpansionanduseofhumancapabilities providestheconceptualbasisforUNDPscommitmenttocapacitydevelopment.Definedasthe processofenlargingtherangeofpeopleschoices,itdoesnotequatedevelopmenttoanincreasein peoplesincomebutfocusesonimprovingtheiroverallwellbeing,whichalsodependsonaccessto educationandhealthcare,freedomofexpression,theruleoflaw,respectfordiversity,protection fromviolenceandthepreservationoftheenvironment.Whethertheseconditionsexist,andwhether peopleareabletousethemtoimprovetheirwellbeing,dependsontheexistenceofadequate capacitiesofindividuals,organizationsandtheenablingenvironment. Capacitydevelopmentis,therefore,oneofthemosteffectivewaysoffosteringsustainablehuman development.Bystrengtheningthecapacitiesofindividuals,organizationsandtheenabling environment,thefoundationislaidformeaningfulparticipationinnationalandlocaldevelopment processesandtherebysustainabledevelopmentresults.Conversely,improvedhumandevelopment (e.g.functionalliteracy,ahealthyworkforce)isconducivetocapacitydevelopment.

BasedonUNDPsAThinkPieceontheLinkbetweenHumanDevelopmentandCapacityDevelopment,(forthcoming).

 4. HowdoescapacitydevelopmentrelatetotheMillenniumDevelopmentGoals? TheMDGsareasetofdevelopmentoutcomes;capacitydevelopmentisameansofachievingthem. UNDPthereforesupportscountriestodeveloptheircapacitiestoeffectivelyaccessandmanagethe resourcesrequiredtodeliverontheMDGs,whichinvolvestheformulation,implementationand reviewofrelevantpolicies,strategiesandprogrammes.Onarelatednote,whileneedsassessments focusonwhatneedstoimprove(interventions)andhowmuchitwillcost,capacityassessmentsfocus onhowimprovementswilloccur. 5. Whatsnewaboutcapacitydevelopment? Technicalcooperation2wasthemostcommonapproachtodevelopmentcooperationinthe1970sand 1980s.Atthetime,prioritywasgiventotechnicaltrainingandtheintroductionofmodelsandsystems fromtheNorth.Aforeigntechnicalexpertwouldcomeintoacountryforashortperiodtoprovide expertiseandtechnology.Thiswouldfrequentlybefollowedbyfinancialresources.Littleattentionwas paidtothetransferofskillsorthesustainabilityofinterventions. Intheearly1990s,thethinkingontheroleoftechnicalcooperationbegantoshiftandtheideaof capacitydevelopmentbegantoevolve.Theappropriatenessofusingshorttermtechnicalexpertswas questioned.Issuesofsustainabilityandthefitofasolutionbecamemoreimportant.Theprovisionof training,supporttotrainingoftrainersandtheorganizationofstudytripsbecamethenorm,including forUNDP. Experiencehasshown,however,thatsuchstandalonetrainingactivitiesarenotenough.This recognitionhasledtoashiftinperspective.Externalsupportisnolongerseenasthesolevehicle throughwhichcapacitydevelopmenttakesplace.Instead,capacitydevelopmentisseenasalongterm effortthatneedstobeembeddedinbroaderchangeprocessesthatareownedanddrivenbythose involved,thatarecontextspecificandthatareasmuchaboutchangingvaluesandmindsetsthrough incentives,astheyareaboutacquiringnewskillsandknowledge. Whileexternalactorsmaybeabletofacilitateandpromotelocalprocesses,theycanalsoserveto undermineownershipandlocalcapacity.Externalactorsmaypaycarefulattentiontoplayamore facilitativerolerelatedtothemanagementofchangeprocesses,ratherthanamoreinterventionistrole thathasbeenplayedinthepast.

OECDGlossaryofStatisticalTerms:Therearetwobasictypesoftechnicalcooperation:(1)freestandingtechnicalcooperation(FTC), whichistheprovisionofresourcesaimedatthetransferoftechnicalandmanagerialskillsoroftechnologyforthepurposeofbuilding upgeneralnationalcapacitywithoutreferencetotheimplementationofanyspecificinvestmentprojects;and(2)investmentrelated technicalcooperation(IRTC),whichdenotestheprovisionoftechnicalservicesrequiredfortheimplementationofspecificinvestment projects.

 6. HowhasUNDPssupporttocapacitydevelopmentevolved? Overtheyears,UNDPhasinvestedheavilyintrainingandskillsbuildingofindividuals.But,thereis growingrecognitionthattheothertwolevelsofcapacity(organizationalandenablingenvironment) mustalsobesupportedtopromotesustainablecapacitydevelopment. Apoliticalshiftisalsounderway,buildingontheacknowledgementthatUNDPcansupportcountries withoutplayingadirectexecutionrole.Forexample,inacountryinLatinAmerica,UNDPistransitioning fromprovidingprocurementservicestostrengtheningthecapacitiesofgovernmentprocurement agencies. 7. WhatisUNDPscomparativeadvantageinsupportingcapacitydevelopment? Therearemanypublicandprivateorganizationsthatsupportcapacitydevelopment. UNDPsuniquevaluecomesfromits: Buildingonahumandevelopmentvaluebaseandcombiningthatwithastrongconceptual frameworkandamethodologythatisbasedonitsyearsofexperienceonthegroundincountries aroundtheworld; Beinginitforthelongrun.BecauseofitslongstandingsystemofworkingthroughCountryOffices, UNDPisabletostayengagedforthedurationofaprogrammeandbeyondsothatitcanengage continuallyandthentrackandmeasuretheresultsofitscapacitydevelopmentefforts.SinceUNDP supportsmultipleprogrammesatanygiventime,itisabletoprovidecapacitydevelopmentsupport synergisticallyacrossalloftheseandreapeconomiesofscale. Drawingonknowledge,examplesandexperiencesfromaroundtheworld.Itspresencein166 countries,itsstrongresearchbase,andalonginstitutionalmemoryineachcountryallowsUNDPto drawintraregionalandintracountrycomparisonsandfacilitateSouthSouthlearningand exchange. 8 Whatarethethreelevelsofcapacityandhowdotheyrelate? Thethreelevelsofcapacityarethefollowing: Enablingenvironment:thebroadersystemwithinwhichindividualsandorganizationsfunctionand onethatfacilitatesorhamperstheirexistenceandperformance.Thislevelofcapacityisnoteasyto grasptangibly,butitiscentraltotheunderstandingofcapacityissues.Theydeterminetherulesof thegameforinteractionbetweenandamongorganizations.Capacitiesattheleveloftheenabling environmentincludepolicies,legislation,powerrelationsandsocialnorms,allofwhichgovernthe mandates,priorities,modesofoperationandcivicengagementacrossdifferentpartsofsociety. Organizationallevel:theinternalpolicies,arrangements,proceduresandframeworksthatallowan organizationtooperateanddeliveronitsmandate,andthatenablethecomingtogetherof individualcapacitiestoworktogetherandachievegoals.Iftheseexist,arewellresourcedandwell aligned,thecapabilityofanorganizationtoperformwillbegreaterthanthatofthesumofitsparts. Individuallevel:skills,experienceandknowledgethatarevestedinpeople.Eachpersonisendowed withamixofcapacitiesthatallowsthemtoperform,whetherathome,atworkorinsocietyat large.Someoftheseareacquiredthroughformaltrainingandeducation,othersthroughlearningby doingandexperience. 5

9. Howdofunctionalandtechnicalcapacitiesrelateinacapacitydevelopmentresponse? UNDPmakesadistinctionbetweenfunctionalandtechnicalcapacitiesandsupportsthedevelopmentof both.Theexactmixtureofcapacitiestobeaddressedthroughacapacitydevelopmentresponsewill dependontheoutcomeofacapacityassessment.Generallyspeaking,thefunctionalcapacities underpinorsupportthetechnicalcapacitiesneededinacertainsectororthematiccontext.For example,supportingthecapacitiesofanelectoralcommissionmayrequiresupportforitscapacitiesto plan,implementandreviewitsactivities,combinedwithspecifictechnicalskillstodesignanelectoral system. 10. Whatdothecoreissuesrepresent? Therearefourcoreissues:1)institutionalarrangements;2)leadership;3)knowledge;4)accountability. TheyrepresentthecapacityissuesthatUNDPsempiricalevidencesuggeststobemostcommonly encounteredwithinandacrossavarietyofsectorsandthemes.Putdifferently,theyarethefourareas wherecapacitychangehappensmostfrequently.Theyprovideacomprehensivesetofissuesfrom whichanassessmentteamcanchooseasitdefinesthescopeofanassessmentandagainstwhichto checktheissuesalreadyidentified.Theycanalsodrivetheformulationofacapacitydevelopment response.Notallfourwillnecessarilyneedtobeanalysedinanygivenassessmentbuttheassessment teamshouldatleastconsiderallofthemasitdefinesthescopeoftheassessment.Theycanbe amendedbasedontheneedsoftheclientandthesituation. 11. Whatisthecapacitydevelopmentprocess? ThefivestepsofUNDPscapacitydevelopmentprocessare:1)engagestakeholdersoncapacity development;2)assesscapacityassetsandneeds;3)formulateacapacitydevelopmentresponse;4) implementacapacitydevelopmentresponse;and5)evaluatecapacitydevelopment.Approaching capacitydevelopmentthroughthisprocesslensprovidesarigorousandsystematicwayofsupportingit; improvestheconsistency,coherenceandimpactofefforts;andhelpspromoteacommonframeof referenceforaprogrammaticresponsetocapacitydevelopment. 12. Howdoesthecapacitydevelopmentprocessrelatetoanationalplanningorprogramming cycle? UNDPscapacitydevelopmentprocesscanbeusedbygovernmentsandotherdevelopment practitionersastheydesign,implementandevaluatetheirdevelopmentplansandprogrammes. Forexample,ifacountryisdevelopingitstrategicplan,itisoftenhelpfultoconductanassessmentto identifycapacityassetsandneedsanddefineanappropriatecapacitydevelopmentresponse,which couldtheninturninformpolicyandinvestmentchoices.Inaddition,itmaybeworthwhiletoconduct midtermcapacityassessmenttoconfirmdirectionormakecoursecorrections,asnecessary.Similarly,if acountryisapproachingtheendofaplanningorprogrammingcycle,acapacitydevelopmentlensmay beappliedintheevaluationsothatinsightsandlearningsregardingcapacitydevelopmentchallenges aregeneratedforthenextcycle.Itmaybefeasibletoincorporatethecapacitydevelopmentprocessat thelevelofprogrammesandprojectsaswell,acrosstheformulation,implementationandreview phases.

 13. Wheretofindmoreinformationaboutintegratingcapacitydevelopmentinto programming? Fordetailedguidanceontheintegrationofcapacitydevelopmentintoprogrammeandproject formulation,youmaywishtolookattheUNDPProgrammeandOperationsPoliciesandProcedures.The checklistforqualityprogramming,whichisusedbyaProjectAppraisalCommitteetoevaluateaproject, offersfurtherguidance. WithregardtothebroaderUNsystem,the2007CCA/UNDAFguidelines,theUNDGpositionstatement oncapacitydevelopmentandtheaccompanyingUNDGCapacityAssessmentMethodologyprovide furtherinformation.Theseareavailablefromwww.undg.org 14. Whatisanationalcapacitydevelopmentfacility?3 Anationalcapacitydevelopmentfacilitycanbedefinedintwoways,dependingonthespecificcountry situation: Duringperiodsoftransition,anationalcapacitydevelopmentfacilityoffersacommongovernment donorplatformtosupportcapacitydevelopmentefforts,fromshortterminjections(e.g.salary support)andtechnicalassistanceforthedraftingofalegalframework,tosupportforpublic administrationandcivilservicereformandchangemanagement.Nationalcapacitydevelopment facilitiesallowdifferentformsoffundmanagementandprogrammaticengagement,throughpooled funds,tobeadministeredeitherbythegovernmentorbyaleaddonor. Inlessvolatiledevelopmentsituations,anationalcapacitydevelopmentfacilityfunctionsasa platformthatbringstogetherallcapacitydevelopmentservicesthatareprovidedtoclientsand partnersinacountryorsectorunderoneumbrella.Itcoversservicesprovidedwithregardtoeach stepofthecapacitydevelopmentcycleaswellasservicesprovidedtoaddressspecificpriority applicationareas(aidmanagementandcoordination,climatechange,HIV/AIDSorthedeliveryof localhealthcareservices).Assuch,itisavehicleforbridgingthegapbetweenshorterandlong termcapacitydevelopmentvisionsthatmustbelinkedtotheongoingnationalreformprocesses andthatneedtobecloselyintertwined.Anationalcapacitydevelopmentfacilityprovidessupport forcapacityinincrementalsteps,ushersineconomiesofscale,andhelpsmovecapacitiesalonga continuumofchange. 15. Whatisanationalcapacitydevelopmentstrategyorframework? Anationalcapacitydevelopmentstrategyhelpstoinstitutionalizeacountrysfocusonandinvestmentin capacitydevelopmentandtheactivitiestosupportit,withintheframeworkofapovertyreduction strategy,nationaldevelopmentstrategyorsectorplan.Throughsystematicidentificationofcapacity assetsandneedsandallocationofrolesandresponsibilities(whodoeswhat)formeetingthoseneeds andleveragingtheassets,anationalcapacitydevelopmentstrategyhelpstoefficientlydeployresources andinvestmentsincapacitydevelopmentinconjunctionwithacountrysoveralldevelopment framework.Suchresourcingandoperationalresponsibilityallocationallowsacountrytocarrythe capacitydevelopmentagendaforwardinthelongtermandprovidesabirdseyeviewpicturetosenior policymakersandmanagersaboutneedsandprioritiesinthearenaofcapacitydevelopment.

BasedonUNDPsCapacityDevelopmentFacilities,(forthcoming),