Capacity Development: Policy and Applications

Dafina Gercheva

14 February 2008Senec, Slovakia

Supply Driven Demand Driven

Input-based Outcome-based(Transformative)

HD/MD/MDG Goals

From Technical Assistance to a Capacity Development Approach: Human Capabilities

Facilitating access to knowledge

Capacity DevelopmentTechnical

Assistance

Facilitating multi-stake-holder engagementParticipatory

policy dialogue & advocacy

Creating space for learning by doing

Facilitating coaching and mentoring

UNDP Definitions Related to Capacity

Capacity: ability of individuals, organizations, and

societies to perform functions, solve problems, and set

and achieve objectives in a sustainable manner.

Capacity Development: The process through which

individuals, organizations and societies obtain,

strengthen and maintain the capabilities to set and

achieve their own development objectives over time

CD on the UN agenda

• CD emphasis in TCPR resolutions and Paris Declaration

• UN Reform – CD as a common UNCT platform for advocacy and action

• CD as core contribution in UN Agency, Funds and Programmes Strategic Plans

• CD criteria in UNDAF and CCA guidelines

CD in the Strategic Plan

Basic prerequisites of the Strategic Plan: • National leadership and ownership of development interventions

Positioning of Capacity Development:

• Treats capacity development as the “overarching contribution” of UNDP

Calls for a more rigorous and systematic approach to capacity development to enhance UNDP assistance to the efforts of programme countries to achieve the MDGs.

Strategic Plan de-emphasizes:

• Infrastructure without capacity building• Stand-alone procurement of goods & services

Basic Premises underlying CD approach

• CD is about endogenous transformations based on national priorities, policies and results

• CD is about the power and politics of who makes the development decisions – national ownership

• A systematic 3 tier approach to CD is more than training & the use of national expertise

• The spotlight is on the ‘How’: CD is sector, institution and location neutral and is about processes of change that works across them

Basic Premises underlying CD approach

• It involves trade-offs between shorter-term externally driven results and more sustainable locally driven ones

• To be effective it demands a link to education reform, wage reform and civil service reform

• It emphasizes the use of national systems, plans and expertise. It questions stand alone PIU

• It demands adaptation to local reality, reflecting specific capacity requirements of the sector or organization

Enabling environment(policies, legislation,

power relations, social norms)

Enabling environment(policies, legislation,

power relations, social norms)

Individual level(experience, knowledge

& technical skills

Organisational level(systems, procedures

& rules, institutional framework)

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

governance

Deepening effective and accountable state-citizen engagement

A Systems Approach: Three Layers of Capacity Development

What Have We Learnt?

• Capacity assessments provide a systematic starting point for a) dialogue and negotiation, and b) for defining and designing more robust CD responses

• Individual skills building is easy win. Organisational and societal capacity change happens incrementally

• Letting go is the hard part. Need to focus on incentives and disincentives (external and internal)

• It emphasizes gradual transferring of capacities and diminishing presence of development partners on the ground

Step 2: Formulate CD

Strategies

Step 3:Implement CD

Strategies

Step 1:Assess

Capacity Assets and

Needs

Step 4:Evaluate CD Strategies

Capacity Development

Process

UNDP Capacity Development Process

Core CD Strategies that work across sector/theme applications, adapted locally:

• Institutional Reform and Incentives: process facilitation for change management, functional reviews, salary reform, project management and procurement capacities

• Leadership Capacities: negotiation & visioning skills, coaching and mentoring for ethics and values, advocacy and media campaigns

• Education, Training and Learning: diversity of training methods, tertiary education curricula & investments, vocational education, on-the-job skills

• Accountability and Voice Mechanisms: peer review mechanisms, citizen watch, M&E, stakeholder feedback, public information campaigns

CD Strategies into Programme Actions

Knowledge Services and LearningKnowledge Services and Learning

KosovoKosovo Capacity Building Fund-Flexible and strategic Capacity Building Fund-Flexible and strategic instrument to support the PISG in implementing the instrument to support the PISG in implementing the “Standards for Kosovo” through:“Standards for Kosovo” through:

• Leadership and change management CDLeadership and change management CD• Hands on learning and mentoring to senior and Hands on learning and mentoring to senior and

mid-level civil servants mid-level civil servants in central and local in central and local governmentgovernment

• On-the-job coaching and advisory servicesOn-the-job coaching and advisory services• Transfer know-how, modern management Transfer know-how, modern management

techniques and technical expertise of the techniques and technical expertise of the DiasporaDiaspora

CD Strategies into Programme Actions

Knowledge Services and LearningKnowledge Services and Learning

MontenegroMontenegro CD Program delivers a wide range of CD Program delivers a wide range of technical assistance, knowledge transfer and “soft” CD technical assistance, knowledge transfer and “soft” CD services:services:

• Coaching; mentoring and team buildingCoaching; mentoring and team building

• Facilitation of the overall transfer of know-how, Facilitation of the overall transfer of know-how, learning and the integration of advice and other learning and the integration of advice and other assistance outputs into ministries operations assistance outputs into ministries operations

CD Strategies into Programme Actions

Incentive SystemsIncentive Systems

GeorgiaGeorgia::

• salary supplements schemesalary supplements scheme• civil service reformcivil service reform• Tbilisi municipality- new conditions of service and Tbilisi municipality- new conditions of service and

management style, merit-based recruitment of staff and management style, merit-based recruitment of staff and incentive systemsincentive systems

CD Strategies into Programme Actions

Leadership DevelopmentLeadership Development

• Fostering good leadership maximizes and protects Fostering good leadership maximizes and protects

investments in people and institutions, fosters investments in people and institutions, fosters ownership and generates commitment.ownership and generates commitment.

• Leadership development is an important response to Leadership development is an important response to capacity challengescapacity challenges

• Central AsiaCentral Asia leadership development program leadership development program

CD Strategies into Programme Actions

Mutual AccountabilityMutual Accountability

TurkeyTurkeyMillennium Local WatchMillennium Local WatchCivil society monitoring of the MDG progressCivil society monitoring of the MDG progress

TajikistanTajikistan ““Citizen report card”Citizen report card”assessment of citizens satisfaction with regard to assessment of citizens satisfaction with regard to

municipal public service delivery, e.g. education, health municipal public service delivery, e.g. education, health services, electrification, water and sanitationservices, electrification, water and sanitation

CD Strategies into Programme Actions

CD Thematic areas in the region

• Strengthening accountable and responsive governing institutions– To design, deliver and oversee effective

economic and social policies that promote HD and implement human rights, gender equality and anti-corruption standards

– To plan, budget and manage public services that meet citizens’ expectations and needs

– To effectively manage development aid and absorb foreign and domestic resources

CD Thematic areas in the region

• Fostering inclusive participation– Strengthening civic engagement through

establishing mutual accountability and voice mechanisms

– Promoting access to justice for all– E-governance– Facilitating access to information and

networks– Supporting independent media

Implementation Challenges

• Linking capacity response strategies to public policy, PAR, wage reform and education reform

• Including and costing CA & CD responses within

sector plans and institutional budgets

• Avoiding stand-alone PIUs and generic training regimes

Implementation Challenges

• Addressing the ‘distortions’ - brain gain/retention, competing conditionalities, parallel systems, no exit strategies, different accountability and transparency standards, salary supplement schemes…

• Developing internal capacities to support and monitor CD strategies

UNDP Offer of CD Support: CD Service Areas

• Advocate and Advice on CD Policy

• Assess Capacity Assets and Needs

• Formulate and Cost CD Response Strategies

• Support CD Programme Implementation

• Monitor and Evaluate CD Strategies and Results

Refer Supporting CD: The UNDP Approach, March 2007

www.capacity.undp.org

• UNDP CA methodologies, adapted to needs

• Global & regional experts trained in CA/CD support

• CD Practice Notes and Action Briefs with analysis of evidence

• CD indicators for monitoring and evaluation

• CD learning workshops and modules

• Global and regional partnerships and networks