A Systemic Capacity Assessment Tool

This tool should be read in conjunction with the UNDP Practice Notes on Capacity Development
and Capacity Assessment as they provide explanations of terms and concepts used here.
You can use this tool to conduct an assessment of the enabling environment and key capacities of
a national or sub national entity.
Capacity Development Group
Bureau for Development Policy
New York
October 2005

Date of Assessment:

Assessment Conducted By:

Overall observations:
An Integrated Framework for Systems Capacity Assessment and Development

Assessment Perspectives Key Capacities

System / Enabling
Organization&Entity Individual
Environment
1.        Institutional
arrangements, policy, legal & 1.        Strategic Leadership & Job requirements and skill
regulatory Management levels

2.        Structure Training/retraining A. Multistakeholder dialogue process

2.        Leadership &
Management
3.        Processes and
relationships , incl.
stakeholder accountability
3.        Processes and
relationships Career progression B. Mobilising information and knowledge
4.        Resources, supply and
demand Accountability/ethics C. Strategic Planning and Policy

4.        Political economy, human Access to information D. Implementation, management and service delivery
Personal/professional
culture material networking E. Monitoring, learning and accountability
interests finance Performance/conduct
power information Incentives/security
Incentives natural Values, integrity and attitudes Scale
5.        Resources, supply and
demand 5.        Programme Morale and motivation 0= Needs very urgent attention
Work redeployment and job
human 6.        Motivations sharing 1= Needs urgent attention
Interrelationships and
material history teamwork 2= Needs many improvements, but without urgency
finance mission Interdependencies 3= Needs to improve some aspects, but without urgency
information culture Communication 4= Needs some minor adjustments, but without urgency
environmental incentives/ rewards 5= No need for improvements
 CAPACITY ASSESSMENT CAPACITY DEVELOPMENT FRAMEWORK
Rating Narrative Review of Capacity Capacity Development Actions and Results Partnerships
Key capacities Strengths & Weaknesses Opportunities & Threats and
A. Multi-stakeholder dialogue System/Enabling Environment - System / Enabling
processes 0 1 2 3 4 5 Weight Organization/Entity - Individual Environment Organization&Entity Individual Resources
Are the necessary systems,
capacities and incentives in place
to enable all stakeholders to
participate in the policy dialogue
process ?

1. Extent to which national

authorities are able to lead
domestic and external
stakeholders inclusively and
constructively through process of
establishing national
development goals and plans
2. Extent to which relevant sub-
national authorities are able to
lead and facilitate multi-
stakeholder dialogue
3. Domestic partners (civil
society, political, academic and
private sector agents) able to
provide meaningful inputs to
formulating development plans
4. Formal access and
participation of civil society and
general public at public decision-
making meetings
5. Partners are motivated to
engage meaningfully

6. Partners hold conducive

relationships, attitudes and
overcome vested interests, power
differentials that prevent
constructive engagement and
capacity development of some
stakeholder groups
7. Process is open and
transparent
8. There exist CSOs and
networks to advocate for adopted
development goals

9. Media is free and able to

constructively support
development process by
generating awareness on issues
and holding all partners
accountable

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10. External partners are well
coordinated, motivated and
sensitive to local partners
11. Policy, legal and regulatory
framework safeguard minorities
and human rights and support
multi-stakeholder participation
12. Partners are able to utilise
physical and natural resources as
required
13. Partners are able to utilise
human and financial resources as
required

14. Technological,
communications and information
resources and networks are
adequate to support process
..
Construct additional indicators
relevant to local context

B. Mobilization of information System/Enabling Environment - System / Enabling Partnerships and

1 2 3 4 5 6 Weight Organization&Entity Individual
and knowledge Organization/Entity - Individual Environment Resources
Are the systems, capacities and
incentives in place to encourage
learning and information
mobilization ?
1. Statistical systems, databases,
and data collection mechanisms
are in place and data is easily
accessible
2. Academic partners have
adequate human and financial
resources to conduct high quality
independent applied policy
research
3. Knowledge networks within
government and with
academic/research community
are strong
4. Domestic ICT infrastructure
and channels provides adequate
support

5. Authorities and domestic

partners have adequate human
and financial resources to
effectively use latest data,
analytical research, and
technologies
6. Authorities and domestic
partners are motivated to learn
and innovate
7. Policy, legal and regulatory
frameworks incentivise research
and development activities and
knowledge sharing

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8. Domestic partners have
positive attitudes towards sharing
of knowledge and information
..
Construct additional indicators
relevant to local context

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C. Strategic planning and System/Enabling Environment - System / Enabling Partnerships and
policy 1 2 3 4 5 6 Weight Organization/Entity - Individual Environment Organization&Entity Individual Resources

Does the capacity exist to

support long term visioning, and
the development of integrated
plans linked to resources ?
1. A strong strategic leadership
and vision exists at the highest
levels to guide planning
2. Policy, legal and regulatory
frameworks and mechanisms
support integrated approach to
planning and budgeting
3. Inter ministerial/ intersector
coordination mechanisms are in
place/in development
4. Fora exist for consultation with
external, public, private, and civil
insitutions
5. Decision-making
responsibilities have been
devolved to the most appropriate
level

6. Relevant stakeholders can

avail facilities and programmes
for training in leadership,
strategic planning and budgeting
7. Service delivery action plans
are based on appropriate
delineation of responsibilities
between public, private and not-
for-profit providers
8. Planning and budgeting is
based on a medium-term
framework based on all available
resources
9. External partners coordinate
technical and financial support
processes
10. An overall plan/budget for
external support exists

11.Conduct independent
evaluation of medium term target
setting, planning, and budgeting
..
Construct additional indicators
relevant to local context

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D. Implementation,
System/Enabling Environment - System / Enabling Partnerships and
management and service 1 2 3 4 5 6 Weight Organization&Entity Individual
Organization/Entity - Individual Environment Resources
delivery

Do the capacities exist and are

the most suitable management
and organizational arrangements
in place to facilitate the effective
implementation of policies,
strategies and programmes ?
1. Extent to which operational
responsibilities are delegated to
most appropriate level

2. Good mechanisms exist for

coordination and cooperation
between implementing agencies
3. Mandates and responsibilities
are clear and efficiently
distributed
4. Organizational structures and
decision making processes are
effective
5. Agencies are able to attain and
utilise necessary resources

6. Relevant stakeholders can

avail facilities and programmes
for training in programme design
and project management
7. Extent to which management
information systems are
operational and systematically
used
8. Extent to which service
delivery responsibilities are
delegated to private sector and
civil society groups

9. Appropriate incentives are in

place to encourage performance /
results-based management
10. Extent to which agencies and
staff are encouraged to innovate
and take initiative
11.Policy, legal and regulatory
frameworks actively discourage
ineffective service delivery and
provide public channels for
redress
..
Construct additional indicators
relevant to local context

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E. Monitoring, learning and System/Enabling Environment - System / Enabling Partnerships and
accountability 1 2 3 4 5 6 Weight Organization/Entity - Individual Environment Organization&Entity Individual Resources

Are the necessary systems,

capacities and incentives in place
to encourage transparency and
accountability, reporting and
learning?
1. Clear and transparent policies,
rules and regulations exist for
procurement of goods and
services
2. Records of funds allocations at
all levels and agencies are
maintained and are easily
available to the public
3. Audits uncover cases of
misuse of funds or dubious
accounting practices
4. Management Information
Systems capture data on client
satisfaction and impact of service
delivery
5. M&E systems and practices
yield an evidence-based
foundation for learning and
decision-making
6. M&E indicators and
benchmarks are used to detect
and investigate performance and
capacity gaps
7. Projects and programmes are
independently reviewed and
evaluated

8. Lessons learned are

systematically embedded in new
project and programme design
9. Lessons and experiences are
sought from domestic and
international networks
..
Construct additional indicators
relevant to local context

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 Technical Capacities Strengths & Weaknesses Opportunities & Threats Partnerships and
E.g. Education, Health, Public
Financial management, System/Enabling Environment - System / Enabling
agricultural extension, etc. 1 2 3 4 5 6 Weight Organization/Entity - Individual Environment Organization&Entity Individual Resources

Do the necessary capacities exist

to carry out the specific technical
functions in an efficient and
sustainable manner?
Construct relevant indicators for
specific sector / theme
assessment

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