Capacity refers to all the strengths, attributes and resources available

within a community, organization or society to manage and reduce

disaster risks and strengthen resilience.

UNISDR Terminology (2017)

Building children's and young people's capacities before the tsunami in India© PWRDF CC BY 2.0

A capable and accountable state, supported by an effective civil society

and engaged private sector, is indispensable for the sustainable
reduction of disaster risk (UNDP, 2010).

What is capacity?
It is important to emphasize people's capacity to anticipate, cope with, resist and recover
from disasters, rather than simply focusing on the vulnerability that limits them. Like
vulnerability, capacity depends on social, economic, political, psychological,
environmental and physical assets and the wider governance regimes (DFID, 2004) -
and like vulnerability it can be described using different terms.

For instance, capacity is sometimes described as the opposite of vulnerability, but this
overlooks the fact that even poor and vulnerable people have capacities (Wisner et al.,
2012; Shepard et al., 2013). Indeed, the starting point for capacity development is the
existing knowledge, strengths, attributes and resources individuals, organizations or
society has. Capacity may include infrastructure, institutions, human knowledge and
skills, and collective attributes such as social relationships, leadership and management
(UNISDR, 2017).

A related concept is ‘coping capacity’, which is the ability of people, organizations and
systems, to use available skills and resources, to manage adverse conditions, risk or
disasters. The capacity to cope requires continuing awareness, resources and good
management, both in normal times as well as during crises or adverse conditions
(UNISDR, 2017). Coping capacity also depends on adequate household assets and
supportive social and governance relations (DFID, 2004) and can be thought of as a
component of wider capacity development for disaster risk reduction.

Capacity development is the process by which people, organizations and society

systematically stimulate and develop their capacities over time to achieve social and
economic goals. It is a concept that extends the term of capacity -building to encompass
all aspects of creating and sustaining capacity growth over time. It involves learning and
various types of training, but also continuous efforts to develop institutions, political
awareness, financial resources, technology systems and the wider enabling environment
(UNISDR, 2017).

Why does capacity matter?

"Capacity (or the lack of it) is central to reducing disaster risk and therefore critical to
meeting development objectives. Disaster risk reduction requires an all-of-society
engagement and partnership. It also requires empowerment and inclusive, accessible
and non-discriminatory participation (UN, 2015).

At the household level, capacities are often internal (sometimes called endogenous') to
communities, meaning that people have more control over them (Wisner et al., 2012).
Rather than attempting to reduce vulnerability, building capacity may therefore be an
easier strategy for individuals, since many of the drivers of vulnerability are not
influenced by households but instead by economic and political conditions, e.g.
governance (Wisner et al., 2004).

In many low- and middle-income countries, the impacts of regular disasters (extensive
risks) are often absorbed by low-income households, thereby maintaining and
increasing poverty and undermining development outcomes. Enhancing capacity offers
vulnerable communities the opportunity to reduce their disaster risk, develop and adapt
to climate change
STORY

Partnerships and capacity building strategies:

experiences from India

© NR-PH001 World Bank

India

New partnerships between smallholder farmers and agribusiness show potential for
more resilient agriculture. Through partnerships, businesses are able to reduce their
own losses as well as support the public sector to more effectively build capacity and
reduce disaster risks.

SOURCE: GAR 13

READ STORY

How do we measure capacity?

Capacity assessment is the process by which the capacity of a group is reviewed against
desired goals, where existing capacities are identified for maintenance or strengthening
and capacity gaps are identified for further action. (UNISDR, 2017). Capacity resides at
three related levels: in individuals, in organizations and in the overall working
environment within which individuals and organizations operate - ‘the enabling
environment’ (UNDP, 2010), which strongly relates to the concept of resilience. Each of
these can be an entry point for capacity assessment:

Enabling environment

Sometimes referred to as the ‘societal’ or ‘institutional’ level, capacities at the level of the
enabling environment relate to the broader system within which individuals and
organizations function (UNDP, 2009). Understanding the enabling environment can be
obtained from the ‘institutional analysis’, ‘power analysis’ or ‘drivers of change analysis’
increasingly being undertaken by donor organizations as the basis for country assistance
plans (OECD DAC, 2006).

Capacities at the level of the enabling environment relate to all the rules, laws and
legislation, policies, power relations and social norms (UNDP, 2009). Governments,
civil society and the private sector therefore have an opportunity and obligation to work
together to commit to a safer future (UNISDR, 2015a), and therefore their capacity for
engagement can be assessed across all sectors (e.g. climate change, finance, planning)
and levels (e.g. small and medium enterprise, farmers, insurers).

The Organizational Level

This level is a common entry point for capacity assessment (UNDP, 2008). This level
relates to the internal structure, policies, systems and procedures that determine an
organization's effectiveness and ability to deliver on its mandate and allow individuals to
work together (UNDP, 2009). Organizational level capacities help develop and apply
internal policies, arrangements, procedures and frameworks, which is necessary to
deliver the organization's mandate (UNDP, 2010).

Organizational level capacities help develop and apply internal policies, arrangements,
procedures and frameworks, which are necessary to deliver the organization's mandate
(UNDP, 2010). It is not only about skills, but also incentives and governance. People
and organizations can have strong or weak incentives to change, develop and learn, as a
result of their environment or internal factors (Datta et al., 2012).

The Individual Level

This level relates to the skills, experience and knowledge of people that allow them to
perform. Capacity assessment at this level is commonly implemented by researchers and
non-governmental organizations working at the local level, as well as by some local level
governments. However, individual capacity has to be understood within the context of
both the organizational level and enabling environment.

Four key issues common to most capacity assessments are institutional arrangements,
leadership, knowledge and accountability. Not every assessment needs to cover all four
of these issues, but they should be at least considered when defining the scope of an
assessment.

© GAR 2013
Bangladesh

Effective regulation and dedicated investments in corrective disaster risk management

have enabled many high-income countries to reduce their disaster risk. However, still
many low and middle-income countries lack the necessary regulatory quality for norms
and standards to be applied effectively.

SOURCE: GAR 13

READ STORY

How do we enhance capacity?

Capacity building refers to the initial stages of building or creating capacities. Capacity
development is a concept that extends the term of capacity building to encompass all
aspects of creating and sustaining capacity growth over time (UNDP, 2008). It is the
process by which people, organizations and society systematically stimulate and develop
to achieve social and economic goals, including through improvement of knowledge,
skills, systems, and institutions (UNISDR, 2017).

It involves learning and various types of training, but also continuous efforts to develop
institutions, political awareness, financial resources, technology systems, and the wider
social and cultural enabling environment (UNISDR, 2009a). Furthermore, capacity
development commonly refers to a process that is driven from the inside and starts from
existing capacity assets (UNDP, 2010). Integral to capacity development is bringing
about transformation: changing mindsets and attitudes rather than just performing
tasks. However, measuring change and results in concrete terms remains a major
challenge (UNDP, 2009).

Locally generated, owned and sustained capacity is essential

to the success of any DRR enterprise (UNDP, 2010).
The development of disaster risk reduction capacity is the concern of an entire society,
rather than of any single agency, professional discipline, or stakeholder group. An
enabling environment i.e. strong political ownership and commitment at the highest
levels of authority, extensive participation, transparency and clear public accountability
is essential for translating capacity into performance. Indeed, for risk information to
become risk knowledge, the basic parameters of accountability have to be clarified in a
way that provides clear incentives to manage risks and to ensure compliance (UNISDR,
2015a).
Organizations provide the framework for individuals to work together for a common
vision and act on a shared set of goals (UNDP, 2008). Organizational capacity may be
enhanced and assessed in the areas of governance, administration, human resources,
financial management, organizational management, and program management
(USAID, 2012). Within the context of disaster risk reduction, capacity building provides
the basis for a proactive strategy that starts with the creation of awareness about risk
assessment, risk reduction, and risk prevention, while also examining potential threats
or dangers and their mitigation (UNISDR, 2008b).

Capacities at the individual level can be acquired formally through education and
training, whilst others emerge through observing and doing (UNDP, 2009) and
increasingly through networking, leadership development, action learning, and multi-
stakeholder platforms (Datta et al., 2012). Local level capacity building should build on
the existing knowledge of local communities, established often through their experience
of disasters. Local level capacity development activities include:

 Anticipate (e.g. awareness raising of risk, education, participating in and

implementing risk assessments, etc.);
 Cope (e.g. training in first aid, securing home, learning to swim, etc.);
 Resist (e.g. preparedness measures including establishing early warning systems,
designing evacuation strategies, stock piling emergency equipment, etc.) and
 Recover (e.g. alternative means of income, i.e. diverse livelihoods, networks,
social protection, etc.)

But capacity development is more than the building of technical capacities - it is

associated with professional disciplines or particular sector requirements (e.g.
environmental management). It needs to be combined with the promotion of leadership
and other managerial capacities, known as functional capacities, which include the
capacity to:

 Engage stakeholders
 Assess a situation and define a vision
 Formulate policies and strategies
 Budget, manage and implement
 Evaluate

Source: UNDP, 2009

There is much to be learned from the experience of implementing capacity development

programmes for disaster risk reduction. To date, there is a high degree of ambiguity in
the terminology used regarding what disaster risk reduction, capacity development and
ownership means in theory and practice. There are also different notions of
understanding the local context, capacity assessment, as well as the division of roles and
responsibilities (Hagelsteen et al., 2014). Enhancing the disaster risk reduction capacity
of organizations and individuals is an ongoing requirement to build a culture of
resilience.