Facilitator’s Notes

Day 6: Development Modules

Session 26
Capacity Assessment for Leadership
Development
OBJECTIVE TIME SCHEDULE

Effective capacity development is crucial to The overall schedule for this module is two
ensuring sustainability of development hours, as follows:
programming and development effectiveness.
This module will introduce to the participants • Capacity development and leadership (30
the concept of leadership for human minutes)
development, UNDP’s capacity development • Group exercise and discussions (1 hour)
and capacity assessment approach, and their • Open Forum and plenary discussions (30
application to leadership development. A minutes)
leadership assessment exercise will be
conducted at the end of the session (Slide 2).
MATERIALS REQUIRED
PROCESS
• LCD Projector
This thematic module is divided into three main • Flip charts and marker pens
components (Slide 3): • Leadership capacity assessment matrix
• Capacity Development and Leadership
9 Understanding key concepts of capacity
development
9 Understanding role of effective
capacity assessments in formulating
capacity development programmes
9 Understanding leadership capacities as
catalytic components in sustainable
capacity development
• Group exercise on assessing institutional
leadership capacities
• Open Forum and Discussions

Three major reference materials produced by

the UNDP Capacity Development Group (CDG)
were used in this module:

• The Capacity Development Practice Note

• The Capacity Assessment Practice Note
• The Leadership for Human Development
Resource Guide

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Day 6: Development Modules
MODULE CONTENT
A. Capacity Development for What?
What is sustainable capacity development and
how can we achieve it?
All professional development practitioners
perform capacity development in one way or
another. How are you passing on your capacity
to others? Are you doing it consciously or is
capacity transfer something that you take for
granted would inevitably happen whenever you
communicate, write a paper, conduct
consultation meetings, or formulate and
manage a project? This session will present
UNDP’s definition of capacity (the ability of
individuals, institutions, and societies to
perform functions, solve problems, and set and
achieve objectives in a sustainable manner)
and briefly describe the UNDP framework for
capacity development. It will emphasize the
importance of both short-term and long-term
capacity development investments and
strategies, and the importance of analyzing and
strengthening capacities at the individual,
institutional, and societal levels to empower
choices and chart sustainable development
courses (Slides 4-6).
What capacities?
We are all equipped with our own technical,
professional capacities that we individually
focused in. You may be an engineer, an
economist, a lawyer, a teacher, or engaged in
another profession that you specialized in in
college or through post-graduate degrees,
trainings, or courses. In capacity development,
we have to understand what capacities we
really want to strengthen, a question that is
directly linked to the further question of
“capacities for what?”. Capacity development
therefore begins with two questions: whose
capacities do we want to strengthen, and what
do we want to achieve out of strengthening
these capacities.
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UNDP’s capacity development framework
focuses on key functional capacities – the soft
capacities that are often not taught in formal
schools. Through years of active development
work, UNDP and other development actors have
realized that such soft capacities (versus
hard/technical capacities) are equally
important in ensuring development
effectiveness. These include capacities for: 1)
effective engagement and facilitation of multi-
stakeholder processes; 2) mobilizing and
analyzing information and knowledge; 3)
strategic planning, policy and programme
formulation; 4) implementation, effective
management and service delivery; 5)
monitoring, evaluation, accountability and
learning (Slides 7-8).
B. Systematizing Capacity Assessments: Key
to Effective, Sustainable Capacity
development
In your own programming experience, how have
you incorporated capacity development?
Let us dispel some common mis-understandings
of capacity development. One, capacity
development does not equate to training. Two,
providing individual trainings will automatically
solve the knowledge and skills gap in an
organization. Three, as professional
development practitioners, we already fully
know the capacity issues that need to be
addressed.
How can a systematic capacity assessment
improve the empowerment of capacities in an
organization, ministry, or country? A capacity
assessment is defined by UNDP as “an analysis
of the state of current capacities against
desired future capacities; this assessment
generates a view to capacity gaps which in turn
leads to capacity development strategy
formulation and costing”. It is a set of
“systematic, facilitated processes applied on
larger systems, organizations, departments
or ministries, using pre-formulated tools that
lead to the generation of capacity maps and
baselines from which to build and target
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future capacity development
interventions….”. In short, an effective
capacity assessment will allow decision makers
to identify and prioritize critical capacity gaps
to attaining the
institution’s/ministry’s/government’s targets,
formulate short-term and long-term capacity
development strategies to address those gaps,
and integrate monitoring mechanisms to
measure changes in capacity over time.
How then do you go about doing capacity
assessments?
Figure 1 on the next page defines the major
steps in doing capacity assessments (Slide 9).
Step 1 is the capacity diagnostics exercise,
which should define the entry point for the
capacity assessment, the functional capacities
to strengthen, and the core capacity issues that
need to be addressed. There are various tools
developed by UNDP and other UN agencies, as
well as other development and private
consulting firms, that can be used in doing such
capacity assessment exercise. The key is
adapting available tools to the need and
objective of the exercise, as well as the
available resources. Very critical is the process
undertaken in facilitating the exercise,
particularly in engaging the stakeholders in
self-assessment exercises, to ensure ownership
of the assessment results. Once results are in,
capacity development strategies and actions
can be defined (Step 2), to include both short-
term or quick responses, and other longer-term
initiatives. Costing these capacity
development actions (Step 3) not only within
project budgets but particularly within long-
term budgetary frameworks is critical to ensure
effectiveness and sustainability of the capacity
development strategies.
The benefits resulting from a comprehensive
and well executed capacity assessments are
significant. However, it should be noted that
capacity assessment is a tool, not a solution. It
requires a prior understanding of the political
context within which capacity is deployed and
a clear rationale for why certain capacities are
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desired in the future. The inputs into a
capacity assessment will determine the gaps
identified. Equally the “desired” capacities do
not emerge from the capacity assessment but
must be defined prior to undertaking the
assessment. Inappropriate inputs and
identification of desired capacities will limit
the value of the tool for solution design.
C. Leadership Capacities
The present concern for leadership comes from
the drive for participatory governance and the
realization that the effectiveness of
development practitioners depends on local
level ownership and links with national
development policies, plans and budgets.
Participatory governance calls for the creation
of new roles and leadership at all levels from
local to national and across sectors (Slide 10).
Specific contexts make specific demands on
leaders. Linking leaders to global knowledge
(e.g. networks, international think-tanks) is
instrumental for facilitating change. The skills
needed for leadership of human rights-based
leadership of capacity development are likely
to include personal and interpersonal attitudes
and skills—e.g. self-awareness, empathy, and
skills such as the ability to lead groups in
systems thinking for strategic analysis. Ability
to bridge the communications gap between
people of different worldviews and cognitive
ability is likely to be vital. These skills can be
coached and learned.
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Assess Capacity Define Capacity Cost Capacity

Process Steps Development Development Actions
Strategies/Actions

Description An assessment that The development of an Costings of the

includes needs strategy suggested by proposed strategies /
assessment, capacity assessment actions.
environmental and data, evidence and Could include
gender analyses, analysis. discussion of
economic and financial Includes medium- to partnerships, resource
analyses, among long-term strategic requirements and
others. initiatives and short- source of funds.
Conducted along three term quick impact
dimensions: point of initiatives.
entry, functional
capacities and core
issues.

Figure 1. Integration of Capacity Assessment and Planning & Programming

As a leader, what leadership skills can and facts; using exposure and
should you learn? orchestration of
dissonance/conflict as
Much is asked of a leader. The table below leverage for learning; testing
shows some of the leadership skills that are the relationship between
very important to respond to and anticipate the means and ends.
emerging development issues, particularly in Bridging the ability to communicate to
contributing to the attainment of the cognitive and others whose cognitive
Millennium Development Goals (MDGs) (Slide values gaps development and worldviews
11). are significantly different
Leading on values, worldviews,
Leadership What is it about? reflection behavior, and the demands of
Skills integrity. Getting people to
Evoking all ability to create an clarify what matters most.
contributions atmosphere of trust and Balancing tradeoffs is a
awareness. Inclusion of, and central task.
respect for, different values Learning requires the ability to
perspectives and legitimate formulate significant
interests may be essential to questions.
finding resolution. The ability Strategizing requires the ability to lead
to generate a productive others in open systems
tension without undue stress thinking.
is a major leadership skill Understanding Leaders must be able not to
requirement. and working take things personally and
Reality testing requires the ability to lead effectively defensively and to manage
people to seek, absorb, and with their ego—using it to serve
find valid interpretation of

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Day 6: Development Modules

projection the task not using the task to them to become participatory, may be all that
serve the ego. will be supported in a given context. In such a
Exercising following through on case, existing processes—and who plays what
responsibility commitments and roles in them—may need to be largely
agreements, and not abusing accepted. Leadership development will coach
privilege. key managers especially in imaginative and
Exercising requires the ability to systems skills. Where there are opportunities
authority establish and maintain for bringing to bear influence from outside the
boundaries that serve the organization, the support of champions may
task, as well as the ability to also be effective (Slide 12).
mobilize and direct the use of
resources to support and Leadership Assessment Exercise
carry out the task.
Managing requires the ability to accept Each participant will be given four matrices [ i)
power shifts and ease the recasting of organizational direction and visioning; ii)
roles to preserve the dignity management systems; iii) motivation and staff
and significance of people support; iv) partnerships) to assess the
and groups. leadership capacity in his/her own
Meeting implies empathy and organization. If applicable to you, you may
constituency compassion and sensitivity to also opt to assess your own leadership
needs and the needs and development capacities using this matrix. Each matrix has
elevating them of healthy social systems. specific indicators (Slide 13), and each
Coaching whose job is to organize participant should provide a rating for each
teams system-wide dialogue through indicator, as follows:
multi-level networks of
workgroups assigned tasks in Rating
the design and 0 No evidence or only anecdotal
implementation of change. evidence of an approach
Managing the while leadership needs to be 1 An approach is planned
Managers linked to effective 2 An approach is planned and
management, the leadership implemented
role is one of direction and 3 An approach is planned,
the management capacity implemented and reviewed
that is necessary to give 4 An approach is planned,
effect to direction need not implemented and reviewed on the
be in the same person. basis of benchmarking data and
adjusted accordingly
5 An approach is planned,
Assessing Leadership Capacities implemented, reviewed on the
basis of benchmarking data,
What then makes a good leader? adjusted and fully integrated into
the organisation
We start by asking who should be performing
what leadership roles. Institutions and systems
at different stages of development will provide
different answers to this question. Leadership
development programmes, designed to develop
the leadership capacity of consultative
managerial systems rather than transforming

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