UNEP-WCMC CAPACITY DEVELOPMENT ASSESSMENT TOOL: USER GUIDELINESVERSION 3.0: JUNE 2016

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AuthorsWill Banham, Philip Bubb, UNEP-WCMC; Zurina Moktar, Conservation Leadership MPhil

Prepared for John D. and Catherine T. MacArthur Foundation

AcknowledgementsWithin UNEP-WCMC, support in developing this tool was provided by Marieke Sassen, Andy Arnell, Arnout van Soesbergen, Yara Shennan-Farpon, Sarah Ivory, Hilary Allison, Val Kapos, Fiona Danks, Pablo Sinovas, and Charlotte Hicks.

Amy Duthie (FFI), Marianne Carter (FFI) and Kiragu Mwangi (BirdLife International) served as an external reviewer. Testing of the tool at workshops was supported by Joost Vervoort (CCAFS), Abdoulaye Moussa (CCAFS), Rathana Peou (CCAFS), Maliha Muzammil (ECI, Oxford) and Christopher Coghlan (ECI, Oxford), Chase Sova (ECI, Oxford), Danilo Saravia (UCI), Randolph von Breymann (UCI) and Marieke Veeger (UCI).

Copyright 2016 United Nations Environment Programme

The United Nations Environment Programme World Conservation Monitoring Centre (UNEP-WCMC) is the specialist biodiversity assessment centre of the United Nations Environment Programme (UNEP), the world’s foremost intergovernmental environmental organization. The Centre has been in operation for over 30 years, combining scientific research with practical policy advice.

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The contents of this report do not necessarily reflect the views or policies of UNEP, contributory organizations or editors. The designations employed and the presentations of material in this report do not imply the expression of any opinion whatsoever on the part of UNEP or contributory organizations, editors or publishers concerning the legal status of any country, territory, city area or its authorities, or concerning the delimitation of its frontiers or boundaries or the designation of its name, frontiers or boundaries. The mention of a commercial entity or product in this publication does not imply endorsement by UNEP.

Image credits: Elisabeth van de Grift

Suggested citationBanham, W., Bubb, P., Moktar, Z. (2016) UNEP-WCMC Capacity Development Tool: User Guidelines, version 3.0. UNEP-WCMC, Cambridge, UK.

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3List of figures, tables and boxes 4

Overview of the guidelines 5

1. The benefits of a Capacity Development Assessment Tool 131.1 Why assess capacity development needs? 131.2 Why use a tool for capacity development assessment? 141.3 What is the Capacity Development Assessment Tool (CDAT)? 15

2. A capacity assessment framework 172.1 Defining ‘capacity’ and ‘capacity development’ 172.2 Capacity for what? 172.3 How much capacity? 182.4 Capacity scales 182.5 Capacity spheres and elements 19

3. CDAT guidelines and instructions 233.1 Overview of the capacity development process 233.2 Instructions for using the Capacity Development Assessment Tool (CDAT) 263.3 Key issues for using the CDAT 35

4. Appendices 404.1 Framework of decision-making components 404.2 Capacity element definitions and development options for the individual scale 434.3 Capacity element definitions and development options for the organisation scale 504.4 Capacity element definitions and development options for the network scale 59

Contents

LIST OF FIGURES, TABLES AND BOXES

FiguresNo. Title Page

1 Three capacity spheres of the CDAT conceptual framework 19

2 Spheres and elements of capacity a) individual scale, b) organisation scale, c) network Scale

20-21

3 Overview of the capacity development process 24

4 Screenshot of the format for each Capacity Element. Example uses Knowledge and Awareness from the Organisation Scale assessment

29

5 Scale and key for Capacity assessment 30

6 Scale and key for Feasibility assessment 31

7 Screenshot of the format of Worksheet 8 33

8 Capacity Development Decision options in Worksheet 8 33

Tables

No. Title Page

1 The three capacity spheres 19

2 The nine worksheets of the CDAT Excel spreadsheets 26

Boxes

No. Title Page

1 How the Capacity Development Assessment Tool (CDAT) was developed 15

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5These guidelines explain how to use the Capacity Development Assessment Tool (CDAT), which is a suite of Microsoft Excel worksheets developed by the United Nations Environment Programme World Conservation Monitoring Centre (UNEP-WCMC). The tool’s purpose is to support the design and evaluation of capacity development activities in the field of biodiversity-related decision-making. The tool results in numerical scores for the current capacity to achieve a goal or task, and scores for the feasibility of improving this capacity. This information helps decision-making on what capacity development is needed, as well as providing a baseline for the evaluation of capacity development activities. The CDAT gives a comprehensive approach to identifying capacity needs, with assessment of the competencies, resources and enabling environment needed for a goal. There are versions of the tool for the scales of an individual, organisation and network. The tool is also adaptable to the user’s circumstances, so that only relevant elements of capacity are assessed.

These guidelines consist of four parts. The first section presents the benefits of a capacity development needs assessment as part of project design, and describes the uses of the CDAT. The second section explains the concepts of capacity and capacity development, and gives a framework of capacity elements that the tool is designed to assess. The third section provides detailed guidelines for conducting an assessment

using the CDAT, and some considerations on its use. The fourth section (appendices) presents a framework for the components of decision-making, and detailed definitions and guidelines for each scale of capacity needs assessment. It is recommended that users familiarise themselves with these guidelines prior to undertaking an assessment, in order to understand the concepts of capacity it uses and how to apply the tool.

Overview of the guidelines

6 Les présentes directives expliquent comment utiliser l’outil d’évaluation du renforcement des capacités (CDAT – Capacity Development Assessment Tool), lequel correspond à une série de tableurs Excel élaborés par le PNUE-CMSC. Cet instrument a pour objet de soutenir la conception et l’évaluation des activités de renforcement des capacités pour ce qui est de la prise de décisions en matière de biodiversité. Cet outil génère des résultats chiffrés évaluant la capacité actuelle à réaliser un objectif ou une tâche, et des résultats indiquant la faisabilité de l’amélioration de cette capacité. Ces informations facilitent la prise de décision en la matière, à savoir, déterminer quelles activités de renforcement des capacités sont nécessaires, et fournissent également une base pour l’évaluation de ces activités. L’approche globale du CDAT permet d’identifier les besoins en capacités, grâce à l’évaluation des compétences, des ressources et de l’environnement propice nécessaires pour atteindre un objectif. Les différentes versions de l’outil sont adaptées à différentes échelles : individu, organisation et réseau. L’outil s’adapte également au contexte d’utilisation, de façon à ce que seules les capacités pertinentes soient évaluées.

Ces directives s’articulent autour de quatre parties. La première présente les avantages de l’évaluation des besoins en matière de renforcement des capacités dans le cadre de la conception du projet, et décrit les différents usages du CDAT. La deuxième partie explique les concepts de capacité et de renforcement des capacités, et offre un cadre englobant les capacités pour l’évaluation desquelles l’outil est conçu. La troisième section fournit des directives détaillées en vue de mener une évaluation au

moyen du CDAT, et quelques considérations relatives à son utilisation. La quatrième partie (annexes) présente un cadre regroupant les éléments intervenant dans la prise de décision, ainsi que des définitions et des directives détaillées pour chaque échelle d’évaluation des besoins de capacités. Il est recommandé aux utilisateurs de se familiariser avec ces directives avant d’entreprendre toute évaluation, afin de comprendre les concepts de capacité qu’elle utilise et de savoir comment appliquer l’outil.

Vue d’ensemble des directives

7En las presentes directrices se explica cómo utilizar la herramienta de evaluación del desarrollo de la capacidad (CDAT, por sus siglas en inglés), que consiste en una serie de hojas Excel elaboradas por el Centro Mundial de Vigilancia de la Conservación del Programa de las Naciones Unidas para el Medio Ambiente (PNUMA-CMVC). El propósito de la herramienta es servir de soporte para el diseño y la evaluación de las actividades de desarrollo de la capacidad llevadas a cabo en el ámbito de la toma de decisiones en materia de diversidad biológica. La herramienta genera resultados numéricos que evalúan la capacidad actual para cumplir una tarea u objetivo concretos y puntuaciones que miden la viabilidad de la mejora de esa capacidad. La información contribuye a fundamentar la toma de decisiones en relación con las necesidades de desarrollo de la capacidad, al tiempo que proporciona una base de referencia para la evaluación de las actividades encaminadas al desarrollo de la capacidad. Asimismo, la CDAT aporta una perspectiva global para la identificación de las necesidades de capacidad que abarca la evaluación de las competencias, los recursos y el entorno propicio para la consecución de un objetivo. Se han desarrollado distintas versiones de la herramienta en función del tipo de usuario —un individuo, una organización o una red— y, además, puede adaptarse a sus circunstancias específicas a fin de que la evaluación se centre únicamente en las capacidades pertinentes.

Las directrices constan de cuatro partes. En el primer apartado se exponen los beneficios que pueden obtenerse con la inclusión de la evaluación de las necesidades de desarrollo de la capacidad en el proceso de diseño de un proyecto y se describen los distintos usos de la CDAT. En el segundo apartado se definen los conceptos de «capacidad» y «desarrollo de la capacidad», y se determinan los elementos relacionados con la capacidad que pueden evaluarse mediante la herramienta. En el tercer apartado se incluyen directrices detalladas para la realización de las

evaluaciones con la CDAT, así como algunas consideraciones relativas a su utilización. Y, por último, en los apéndices se facilita un marco sobre los componentes de la toma de decisiones y definiciones y directrices pormenorizadas para cada escala de evaluación de las necesidades de capacidad. Antes de llevar a cabo una evaluación, se recomienda a los usuarios que se familiaricen con estas directrices a fin de que comprendan los conceptos en los que se basa la herramienta y su modo de empleo.

Visión de conjunto de las directrices

8 Essas diretrizes explicam como utilizar a Desenvolvimento de Capacidades Assessment Tool (CDAT), que é um conjunto de planilhas do Microsoft Excel desenvolvidos pela United Nations Environment Programme World Conservation Monitoring Centre (UNEP-WCMC). O objetivo da ferramenta é apoiar a concepção e avaliação das actividades de desenvolvimento de capacidades no domínio da tomada de decisões relacionadas com a biodiversidade. Os resultados da ferramenta em pontuações numéricas para a actual capacidade para alcançar uma meta ou tarefa, e as pontuações para a viabilidade de melhorar essa capacidade. Esta informação ajuda a tomada de decisão sobre o desenvolvimento de capacidade é necessária, bem como proporcionar uma base para a avaliação das actividades de desenvolvimento de capacidades. O CDAT dá uma abordagem abrangente para identificar as necessidades de capacidade, com a avaliação das competências, recursos e ambiente favorável necessário para uma meta. Há versões da ferramenta para as escalas de um indivíduo, organização e rede. A ferramenta também é adaptável às circunstâncias do usuário, de modo que apenas os elementos relevantes de capacidade são avaliadas.

Essas diretrizes consistem em quatro partes. A primeira seção apresenta os benefícios de um desenvolvimento da capacidade de avaliação das necessidades, como parte da concepção do projecto, e descreve os usos do CDAT. A segunda seção explica os conceitos de capacidade e desenvolvimento de capacidades, e dá um quadro de elementos de capacidade que a ferramenta se destina a avaliar. A terceira seção fornece orientações detalhadas para a realização de

uma avaliação utilizando o CDAT, e algumas considerações sobre a sua utilização. A quarta seção (apêndices) apresenta uma estrutura para os componentes da tomada de decisões e definições detalhadas e diretrizes para cada escala da capacidade de avaliação das necessidades. É recomendável que os usuários se familiarizar com estas orientações antes de realizar uma avaliação, a fim de compreender os conceitos de capacidade que ele usa e como aplicar a ferramenta.

Visão geral das Orientações

9Эти принципы объясняют, как использовать Инструмент оценки потребностей в развитии потенциала (CDAT), который представляет собой набор рабочих листов Microsoft Excel, разработанных Всемирным центром мониторинга природоохраны Программы Организации Объединённых Наций по окружающей среде (UNEP-WCMC). Целью инструмента является поддержка разработки и оценки деятельности по развитию потенциала в области биоразнообразия, связанных с принятия решений. Результаты инструмента в баллах для текущей мощности для достижения цели или задачи, а также оценки для возможности повышения этого потенциала. Эта информация помогает процессу принятия решений о том, что развитие потенциала необходимо, а также обеспечение основы для оценки деятельности по развитию потенциала. CDAT дает комплексный подход к выявлению потребностей в создании потенциала, с оценкой компетенций, ресурсов и создание благоприятных условий, необходимых для цели. Есть версии инструмента для весов индивидуальной, организации и сети. Инструмент также могут быть адаптированы к конкретным обстоятельствам каждого пользователя, так что только соответствующие элементы емкости оцениваются.

Эти принципы состоят из четырех частей. В первом разделе представлены преимущества развития потенциала оценки потребностей в рамках разработки проекта, а также описаны способы использования CDAT. Второй раздел объясняет концепции потенциала и развития потенциала, а также дает основу элементов емкости, что инструмент предназначен для оценки. В третьем разделе представлены подробные рекомендации для проведения оценки с использованием CDAT, а также некоторые соображения

по его использованию. Четвертый раздел (добавлений) представляет собой основу для компонентов принятия решений, а также подробных определений и руководящих принципов по каждой шкале потенциала оценки потребностей. Рекомендуется, чтобы пользователи ознакомиться с этими руководящими принципами до проведения оценки, для того, чтобы понять понятия способности, которые он использует и как применять инструмент.

Обзор Руководства

10 وتوضح هذه اإلرشادات كيفية استخدام أداة تقييم التنمية )CDAT(، وهي مجموعة من أوراق عمل Microsoft Excel التي وضعتها

)United Nations Environment Programme World Conservation Monitoring Centre )UNEP-WCMC القدرات. الغرض

األداة هو دعم تصميم وتقييم أنشطة تنمية القدرات يف مجال اتخاذ القرارات املتعلقة بالتنوع البيولوجي. نتائج أداة يف عرشات العددية للطاقة

الحالية لتحقيق هدف أو مهمة، وعرشات من أجل إمكانية تحسني هذه القدرات. تساعد هذه املعلومات يف عملية صنع القرار عىل ما تنمية

القدرات الالزمة، فضال عن توفري أساس لتقييم أنشطة تنمية القدرات. وCDAT يعطي نهج شامل لتحديد االحتياجات من القدرات، مع تقييم

للكفاءات واملوارد والبيئة الالزمة لتحقيق هدف متكني. هناك إصدارات أدوات لجداول الفرد والتنظيم والشبكة. األداة هي أيضا قابلة للتكيف

مع الظروف الخاصة باملستخدم، بحيث يتم تقييم فقط العنارص ذات الصلة من القدرات.

تتكون هذه املبادئ التوجيهية من أربعة أجزاء. ويعرض القسم األول

من فوائد تنمية القدرات تقييم االحتياجات كجزء من تصميم املرشوع،

ويصف استخدامات CDAT. يوضح الجزء الثاين مفاهيم القدرات

وتنمية القدرات، ويعطي إطارا من عنارص القدرات التي تم تصميم

أداة لتقييم. ويقدم القسم الثالث مبادئ توجيهية مفصلة إلجراء

تقييم باستخدام CDAT، وبعض االعتبارات عىل استعاملها. ويقدم

القسم الرابع )املالحق( إطارا ملكونات صنع القرار، والتعاريف واملبادئ

التوجيهية التفصيلية لكل نطاق القدرة تقييم االحتياجات. فمن

املستحسن أن املستخدمني يطلعوا عىل هذه املبادئ التوجيهية السابقة إلجراء تقييم، من أجل فهم مفاهيم القدرة التي تستخدم وكيفية تطبيق أداة.

نظرة عامة عىل املبادئ التوجيهية

11这些准则解释如何使用能力开发评估工具（CDAT），这是由联合国环境规划署世界保护开发的Microsoft Excel工作表的监测中心（UNEP-WCMC）一套。该工具的目的是支持的能力建设活动的设计和评价与生物多样性有关的决策领域。该工具的结果在数值得分的电流容量，以实现提高这种能力的可行性目标或任务，得分。这些信息有助于对所需要的能力建设决策，以及提供的能力建设活动评价的基准。该CDAT给出了一个全面的方法来识别能力的需求，与能力，资源的评估和扶持所需要的目标环境。有一个个人，组织和网络的尺度工具的版本。该工具也适应于用户的情况下，使得仅容量的有关内容进行评估。

这些准则由四部分组成。第一部分介绍能力发展带来的好处需要评估作为项目设计的一部分，并介绍了CDAT的用途。第二部分介绍了容量和能力发展的概念，并给出了该工具的目的是评估能力要素的框架。第三部分规定进行使用CDAT评估详细的指导，并在其

使用的一些注意事项。第四部分（附录）提出了决策能力的规模每个需要评估的组件，并详细的定义和准则的框架。建议用户熟悉使用前进行评估这些准则，以了解能力，它使用的概念和如何应用工具。

指引概述

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1. The benefits of a Capacity Development Assessment Tool

1.1 WHY ASSESS CAPACITY DEVELOPMENT NEEDS?

Supporting the capacity development of partner organisations is a central part of the work of UNEP-WCMC and other international organisations in the field of biodiversity, environment and development. Good practice for any capacity development (CD) process should involve the stages of:

● A CD needs assessment

● Design of a CD process

● Implementation of the CD

● Evaluation of the CD

A CD needs assessment is the foundation of this process, and so should give an understanding of current capacities and the context within which the CD is taking place. This enables decision-making in the project design stage of what capacities need to be developed, and who should be targeted for CD. A needs assessment also informs the choice and design of CD actions, such as training, development of new tools, production of guidance materials and case studies, e-learning, or improving an organisation's structure. The needs assessment can also give a baseline measurement of current capacity, which is required for the evaluation of the capacity achieved after implementing the CD.

A CD needs assessment may be conducted by the organisation implementing the CD, or it can be a participatory process with the intended beneficiaries. Participatory and self-assessments can be part of the development of capacity process in themselves, as they help the ‘beneficiaries’ to clarify the current situation, needs and obstacles for CD. This can form the basis for joint learning, partnership and decision-making between the CD provider and beneficiaries in the CD process.

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1.2 WHY USE A TOOL FOR CAPACITY DEVELOPMENT ASSESSMENT?

The Capacity Development Assessment Tool (CDAT) has been designed to help improve the design and impact of capacity development, giving a more systematic and consistent approach to assessments. It helps to meet the following needs:

● To assist the prioritisation of needs, since the scope of capacity development circumstances needs and types of interventions is huge, and so having a framework and tool to guide and focus a CD needs assessment is helpful. The CDAT includes assessment of the feasibility of improving each element of capacity, to help the prioritisation of needs.

● To give a comprehensive approach to identifying the relevant aspects of capacity, whilst being flexible and adaptable to the user’s needs. Previous capacity assessments and CD design have been criticised for only covering a few of the relevant aspects of capacity, such as just skills, and so they may miss important issues for achieving CD. One such issue is the wider enabling environment, which is often poorly considered in assessments.

● To be used at the scales of individuals, organisations or networks.

● To serve as a structure for joint and transparent decision-making on the scope and results of a CD assessment, and as a means to record and explain the results for different groups of people within the CD provider and beneficiary organisations.

● To produce numeric assessments of the current capacity to achieve a function or goal, and of the feasibility for improvement of this capacity. This numeric scorecard then assists the identification of priorities for CD, by giving an overall picture of how much of a capacity gap exists and the feasibility of addressing each element of capacity. The numeric scorecard also serves as a baseline for evaluation of the impact of CD actions.

● To support the project cycle at the design stage if CD is involved, project implementation if CD needs arise or CD activities need adjustment, and interim or final project evaluation to assess the impact of CD.

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1.3 WHAT IS THE CAPACITY DEVELOPMENT ASSESSMENT TOOL?

The Capacity Development Assessment Tool (CDAT) is a suite of Excel workbooks that help the user to understand and prioritise capacity development needs for a task, project or programme. The CDAT covers a comprehensive range of capacity elements and the user can select which are the relevant ones to include in the assessment.

The tool consists of three versions of an Excel workbook to cover assessments at the scales of an individual, an organisation, and a network. Each workbook includes a set of predetermined elements of capacity appropriate for each scale. A fourth workbook allows the user to create a tailored assessment tool for any scale, by entering the names of the elements of capacity that they wish to focus on.

The workbooks first guide the user to define what capacity is desired, covering elements within the three capacity spheres of competencies, resources, and enabling environment. Then each capacity element is scored for its current level of capacity, and for the feasibility to achieve the desired capacity. The results of this exercise are then summarised for each of the three capacity spheres and overall, to support decision-making on which elements will be address through capacity development activities.

Box 1. How the Capacity Development Assessment Tool (CDAT) was developedThe first version of the CDAT was developed in 2014 by UNEP-WCMC and by Zurina Moktar as part of her student placement project under the Cambridge University MPhil in Conservation Leadership. It was partly funded by the MacArthur Foundation under the Commodities and Biodiversity Planning for Future Capacity Project led by UNEP-WCMC. An early version of the CDAT was tested at a project workshop on “Scenario-Guided Policy Analysis on the Future of Development, Food Security and the Environment in East Africa” in Uganda in June, 2014. The CDAT was improved in 2015 and 2016 with review comments by FFI, BirdLife International and the Tropical Biology Association (TBA), programming support by Angelica Monzon, Cambridge University MPhil in Conservation Leadership, and with support from UNEP.

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17This section explains the conceptual framework used in the CDAT. Concepts of ‘capacity’ and ‘capacity development’ are first discussed and then the key structural aspects of the CDAT – Capacity Scales, Capacity Spheres and Capacity Elements – are introduced and described.

2.1 DEFINING ‘CAPACITY’ AND ‘CAPACITY DEVELOPMENT’For the purposes of the CDAT, ‘capacity’ is defined as the ability of individuals, organisations and networks to perform their function/s effectively and sustainably.

‘Capacity development’ is defined as the process by which individuals and groups, including organisations, institutions and countries, develop, enhance and organise their systems, resources and knowledge; all reflected in their abilities, individually and collectively, to perform functions, solve problems and achieve objectives1.

The terms ‘capacity development’ and ‘capacity building’ are often used interchangeably, but ‘capacity building’ can be seen to imply starting from nothing, i.e. to create capacity that did not previously exist, while ‘capacity development’ recognises existing capacity and development processes and provides support for these. For the purpose of these guidelines, ‘capacity development’ is used to represent both meanings.

2.2 CAPACITY FOR WHAT?The CDAT has been developed by UNEP-WCMC to assist its capacity development work in the subject of biodiversity information and decision-making, and these guidelines illustrate such uses. However, the capacity assessment framework is sufficiently generic for its use and adaptation in most environment and development organisations and projects.

Capacity for decision-making obviously includes having adequate data or information, which is a focus of much of the work of UNEP-WCMC. However, there are many other elements of capacity which influence whether and how biodiversity information is used in decision-making. To assist in assessing capacity for decision-making a framework of the components of decision–making is presented as a supplementary resource in Appendix 4.1.

2. A capacity assessment framework

1OECD, 2006

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2.3 HOW MUCH CAPACITY?A central part of a capacity development assessment is the definition of the required or target level of capacity. To use the CDAT it is necessary to define at least a minimum level of capacity that is necessary to achieve the function or objective of concern. For example, particular equipment or people with specific skills may need to be available for the function

to be carried out. Above this minimum level, capacity development may have a higher target of desired or optimal capacity. The importance of developing capacity beyond the minimum necessary level is then a matter of judgement for those involved in the capacity development assessment exercise.

2.4 CAPACITY SCALESTo serve the typical capacity development assessment needs of UNEP-WCMC and its partners, the CDAT has been designed to support assessments at the Individual, Organisation and Network scales.

The relationships between these scales are important to consider and they may not necessarily be linear or strictly hierarchical. For example, while the capacity of individuals may well be a key factor in determining organisational capacity, organisational capacity can also be a key factor in determining individual capacity. Similarly, an individual’s capacity may be part of a network’s capacity independently of an organisation and its capacity. The CDAT can be used for multiple capacity development assessments at one or more of these scales, in any sequence, based on user needs for the specific context of each situation.

Some frameworks for capacity needs assessments define the scale above an organisation as the ‘enabling environment’. However, as described below, the CDAT uses the concept of the ‘enabling environment’ differently and considers an enabling environment to be a critical component of capacity at each of the individual, organisation and network scales.

Capacity at the individual scale

Individuals act either within or outside of an organisation to undertake specific tasks, fulfil specific roles or achieve specific objectives. Their competencies can be harnessed in order to achieve particular objectives. Too often, though, capacity development narrowly focuses on training these individuals to strengthen these competencies, without giving adequate attention to their access to resources, the impact of organisational issues and broader processes of empowerment, or other relevant factors in their enabling environment.

Capacity at the organisational scale

Organisational capacity development often focuses on an organisation’s overall performance and capabilities, including the efficient and effective achievement of their collective goals and the existence of mandates. Equally, capacity development may focus on the tools, guidelines, and management systems that facilitate the achievement of these goals. Since organisations are made up of individuals, ideally organisations provide a framework for individuals to work together to manifest a common vision and to act on a shared set of goals.

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Capacity at the network scale

For the CDAT the term ‘network’ refers to a set of organisations and/or individuals that collectively undertake tasks and perform specific roles for common objectives. Capacity development at this scale focuses on those factors which determine the capacity of the network as a whole,

and not only its constituent parts, and often focuses on increased coordination among the members of the network. Capacity investments may target individual subsectors or sectors, or alternatively focus on themes or area-based programming.

2.5 CAPACITY SPHERES AND ELEMENTSThe CDAT is built from a conceptual framework of three interrelated capacity spheres (Figure 1), each of which consists of a set of interrelated capacity elements.

Figure 1. Three capacity spheres of the CDAT conceptual framework

Resources

Competenciesor Internal Attributes

EnablingEnvironment

Table 1. The three capacity spheres

Capacity Sphere Description

Competencies or Internal Attributes*

Personal or internal abilities, characteristics and properties which are necessary for individuals, organisations and networks to perform functions and achieve objectives.

Resources Materials, services, or other assets that must be accessed, used and consumed by individuals, organisations and networks in order to perform functions and achieve objectives.

Enabling Environment The external social or working environment that either supports or constrains the ability of individuals, organisations and networks to perform functions and achieve objectives.

* Depending on the scale of assessment, either Competencies (Individual Scale), Competencies/Internal Attributes (Organisation Scale) or Internal Attributes (Network Scale) is used.

The three Capacity Spheres (Table 1) and their constituent Capacity Elements have been identified from the relevant literature and the experience of UNEP-WCMC as necessary to ensure a comprehensive and systematic assessment of the capacity of an individual,

organisation or network to achieve its objectives. The Capacity Elements constitute the core abilities, characteristics or factors to be developed, or, more effectively utilised through capacity development.

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For the application of the CDAT, capacity is considered to be a function of the status of all three Capacity Spheres and the constituent Capacity Elements. Specifically, capacity is the degree to which all of the relevant Capacity Elements in each of these three Capacity Spheres are at or above the minimum required level, or close to or at the optimal level. Sufficient capacity will be achieved when the necessary balance across all relevant Capacity Elements is in place, including all Capacity Elements being at the minimum required level or above.

Which Capacity Elements are included under each of the Capacity Spheres is determined by the scale of assessment. Some capacity Elements are common to all three scales, whereas others are specific to a particular scale. The set of Capacity Elements at each assessment scale is presented in Figure 2 a-c. A description of each Capacity Element, together with suggestions for what optimal capacity consists of and possible capacity development interventions, are presented in Appendices 4.2, 4.3 and 4.4 (for the Individual, Organisation and Network scales respectively).

Resources1. Data and Information2. Finance3. Tools/Technology4. Partners5. Infrastructure

EnablingEnvironment

1. Authority and Credibility2. Incentives3. Cultural Norms4. Legal and Policy Framework5. External Demands6. Organisation Structure and Procedures7. Knowledge and Methodology Base

Competencies1. Knowledge and Awareness2. Skills3. Attitudes and Values4. Goals

Capacity Elements

Capacity Spheres

Figure 2a. Spheres and elements of capacity – individual scale

21Resources

1. Data and Information2. Finance3. Tools/Technology4. Partners5. Infrastructure

EnablingEnvironment

1. Authority and Credibility2. Incentives3. Cultural Norms4. Legal and Policy Framework5. External Demands6. External Structure and Procedures7. Knowledge and Methodology Base

Competencies1. Knowledge and Awareness2. Skills3. Attitudes and Values4. Goals5. Internal Structure and Procedures

Resources1. Data and Information2. Finance3. Tools/Technology4. Partners5. Infrastructure

EnablingEnvironment

1. Authority and Credibility2. Incentives3. External Cultural Norms4. Legal and Policy Framework5. External Demands6. Knowledge and Methodology Base

InternalAttributes

1. Structure and Procedures2. Organisation Capacity3. Individual Capacity4. Internal Cultural Norms5. Goals

Figure 2b. Spheres and elements of capacity – organisation scale

Figure 2c. Spheres and elements of capacity – network scale

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While the CDAT framework is built around the concept of elements of capacity combining to create an overall level of capacity, it is recognised that there is a degree of interrelatedness between the Capacity Elements and that they cannot always be considered in isolation. For example, the competencies of an individual are likely to influence their access to resources (e.g. fundraising skills will influence access to finance). Similarly, their ability to adapt to aspects of their enabling environment e.g. using time management skills will influence their ability to deal with significant external demands for their services.

The three Capacity Scales are also interrelated and so an assessment at one scale might indicate the need for a subsequent assessment at another scale. For example, if an assessment at the Network scale results in Organisation Capacity being identified as a constraint to achieving the network objective, subsequent Organisation scale assessments can be conducted for those organisations within the network that are considered to need strengthening.

23This section provides an overview of the capacity development process using the CDAT, detailed step-by-step instructions for conducting an assessment at any scale, and some discussion around key issues for consideration when using the CDAT. The CDAT consists of Microsoft Excel spreadsheets (for Microsoft Windows and Mac OS) for different scales of assessment and for a user-defined assessment. An assessment consists of working through the various worksheets in the spreadsheet, entering values and text as appropriate.

3.1 OVERVIEW OF THE CAPACITY DEVELOPMENT PROCESSSome principles of good practice for capacity assessments and capacity development include:

● Using participatory or collaborative assessment methods with the ‘beneficiaries’ of the capacity development.

● Seeking agreement of capacity needs and development methods with the ‘beneficiaries’ of the capacity development.

● Developing specific models of the issue and a theory of change.

● Obtaining baselines and measures of change in capacity.

In line with these principles, The CDAT is designed to be used as part of a four-stage capacity development process:

1. Assessment of needs

2. Design of objectives and activities

3. Implementation of activities

4. Evaluation of impacts

Figure 3 shows an overview of this capacity development process, emphasising the way in which the CDAT can be used to complete the first stage, the assessment of needs, through the definition of desired capacity, the assessment of current capacity, and the review of priorities for capacity development, feeding into the subsequent stages of capacity development design, implementation and evaluation.

3. CDAT guidelines and instructions

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Figure 3. Overview of the capacity development process

Define the desired capacity

An assessment of capacity development requires defining the capacity that is necessary for the tasks, functions, projects or programmes to achieve a desired objective. The first steps in this process are to define:

a) the situation for which capacity is required,

b) whose capacity needs to be developed,

c) the level of capacity that is required, i.e. minimum required levels and/or optimal levels of capacity

d) the type of capacity required.

These steps are explained below and guidance for using the CDAT to conduct the steps is given in Section 3.2.

a) Define the situation for which capacity is required. This definition may already exist in project or organisational documents that specify goals and objectives, terms of reference, job descriptions, strategies, etc. Ideally these should be based on a situation analysis that describes the current situation and causes of problems, as a basis for setting objectives etc. In the absence of such documentation, some description of the functions to be performed and the objectives to be achieved will need to be generated.

Capacity DevelopmentNeeds Assessment

Determine capacitydevelopment objectives,

indicators of success,and methods

Decide which elementswill have capacity

development activities

Implement capacitydevelopment activities

Repeat capacityassessment to measure

impact and adaptcapacity development

strategy

CapacityDevelopment Design,

implementation& Evaluation

Define thedesired capacity

Assess eachcapacity element Review the results

& modify elementassessments if

necessary

Maybe do a moredetailed capacity

development needsassessment for some

elements

Assess and score thecurrent capacity

relative to the desired outcome

Assess and score thefeasibility to

strengthen capacity

Define the minimumor optimal capacityfor relevant capacity

elements

Define the type ofcapacity required

Define the situationfor which capacity is

required

Define whose capacityneeds to be developed

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b) Define whose capacity needs to be developed.This is when the scale of the capacity intervention is determined, i.e. the individuals, organisations and/or networks that will need capacity to perform the required functions and achieve the desired objectives. Capacity may be needed for specific individual people or job roles, for an organisation or a team within an organisation, or for a whole network and specific organisations and key individuals within the network.

c) Define the type of capacity required. To complete this step it may be helpful to develop a more detailed description of what ‘success’ would look like for the task, project or programme. This might include systems diagrams, descriptions of organisational roles and relationships, and necessary flows of information and resources. The process of producing such a description of the desired situation and capacity may in itself contribute to capacity development of the participants in the process, if it clarifies roles and desired outcomes. The framework of decision-making components in Appendices 4.1 may assist with this step. Worksheet 3 in each of the CDAT spreadsheets includes a table of all the Capacity Elements for users to complete by inserting a description of the desired capacity for each Capacity Element e.g. for the Capacity Element 'Skills' users would define what specific skills are required.

d) Define the level of capacity that is required. To use the CDAT the target capacity level needs to be defined for each of the relevant elements of the capacity framework presented in section 2.3. This will either be a minimum required level or an optimal capacity level e.g. for the specific skills identified, what is the minimum level of expertise that is required and what, if applicable, is the target or optimal level of expertise.

Assess each Capacity Element

This stage of using the CDAT consists of assessing each of the relevant Capacity Elements and assigning them a score, between 0 and 10, for:

● the current capacity relative to the required or desired capacity;

● the feasibility of achieving the required or desired capacity.

The CDAT will then automatically generate a summary of the results of this assessment, listing all Capacity Elements in order of the current level of capacity (lowest first) and then in order of the feasibility of strengthening capacity (most feasible first).

Review the results

The summary results of the assessment may need to be reviewed and modified once all of the elements have been considered individually, to ensure that the scores are consistently applied. It may be beneficial to first conduct a fairly rapid and general assessment of current capacity and feasibility for capacity development so as to identify the Capacity Elements which are likely to be priorities for attention, and to then conduct a second more detailed assessment for these Capacity Elements. This process may also point to the value in conducting a further assessment using the spreadsheet for User-Defined Assessments (see section 3.2: Instructions for Using the CDAT).

Capacity development design, implementation and evaluation

The results of the capacity development needs assessment are then used to decide which capacity elements will have capacity development interventions. This decision is then used to determine objectives for capacity development, indicators of success for capacity development, and the appropriate capacity development methods. The capacity development needs assessment can also serve as a baseline measurement of the current situation, allowing for future repeat measurements to be used to assess the impact of the capacity development interventions that are implemented.

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3.2 INSTRUCTIONS FOR USING THE CAPACITY DEVELOPMENT ASSESSMENT TOOL (CDAT)

Using the CDAT requires users to enter values and information into the relevant Excel spreadsheet (depending on the assessment scale selected – Step 1). A basic understanding of working with Excel spreadsheets is therefore

required by the user. Each Excel spreadsheet consists of 9 worksheets* as listed in Table 2. User input is required for Worksheets 2 – 6, 8 and 9.

Table 2. The nine worksheets of the CDAT Excel spreadsheet

Worksheet # and Name Description Input Required

1. Assessment Scales and Decision Options

Assessment scales used to assess Capacity, Feasibility and Decisions.

No user input required.

2. Users Data Worksheet to capture basic users’ information as a record of who conducted the assessment and the type of assessment being conducted.

Date and venue of assessment.

Type of assessment

Basic personal details and contact data.

3. Objectives Worksheet to record the context of the assessment (whose capacity for what?) and a future vision of what the minimum or optimal capacity consists of.

Desired objective/outcome.

Vision of overall optimal capacity.

Targeted actors/entities.

Optimal situation for each Capacity Element.

4. Competencies / Internal Attributes

Worksheets to record assessment scores and explanatory remarks for Capacity and Feasibility for each Capacity Element.

Scores and remarks for Capacity.

Scores and remarks for Feasibility.5. Resources

6. Enabling Environment

7. Results by Spheres Summary of scores allocated for each Capacity Element within each Capacity Sphere – sequenced according to Capacity (lowest score first) and then Feasibility (highest score first)

No input required (automatically populated).

8. Overall Results and Decision

Summary of scores allocated for each Capacity Element regardless of Capacity Sphere, and options to record for each element if a capacity development action will be made or not.

Decision and remarks regarding capacity development options.

9. Capacity Development Action Plan.

Optional template for developing a Capacity Development Action Plan for each Capacity Element.

Current and target score for Capacity.

Capacity development objective.

Capacity development target.

Capacity development indicator.

Capacity development approach.

* The spreadsheet for User-Defined Assessments (see 3.2: Conducting User-Defined Assessments below) is structured differently and only includes 7 worksheets: Assessment Scales and Decision Options, Users Data, Objectives, Capacity Elements, Results, Overall Results & Decisions, and Capacity Development Action Plan. The Capacity Elements worksheet replaces Worksheets 4 – 6, as described above, and allows users to define and assess their own Capacity Elements.

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To complete an assessment using the CDAT, users should follow the following eight steps (step 9 is optional).

1. Select the Assessment Scale

2. Read the Relevant Definitions and Guidelines

3. Enable Macros in the Excel Spreadsheet

4. Complete Worksheet 2: Users Data

5. Complete Worksheet 3: Objectives

6. Complete Worksheets 4 – 6: Competencies/Internal Attributes, Resources and Enabling Environment

7. Review Worksheet 7: Results by Spheres

8. Complete Worksheet 8: Overall Results & Decisions

9. Copy and complete Worksheet 9: Capacity Development Action Plan

Step 1: Select the assessment scale

Prior to undertaking an assessment, users need to decide which scale of capacity assessment is appropriate – the Individual, Organisation or Network scale – and select the specific Excel spreadsheet for the assessment at this scale (see 3.3: What Assessment Scale?).

Step 2: Read the relevant definitions and guidelines

Once the assessment scale has been selected, users should read through the relevant Definitions and Guidelines for the specific assessment scale – either Appendix 4.2, 4.3 or 4.4– which provide the user with:

● a description of the three Capacity Components and all of the Capacity Elements included at that scale,

● guidance on what constitutes optimal capacity for each Capacity Element, and

● guidance on possible capacity development interventions relevant to each Capacity Element.

Reading this document is essential to ensure all users approach the assessment with a common understanding of each Capacity Element.

Step 3: Enable macros in the Excel spreadsheet

The first time the Excel spreadsheet is opened, and each subsequent time (after it has been saved), the user will need to enable the macros used to programme certain functions within the spreadsheet (assuming the computer’s security settings do not automatically enable macros). If the macros are not enabled, the CDAT will not function properly.

Depending on whether the Excel spreadsheet is being used in Microsoft Windows or a Mac OS, macros can be enabled by clicking on the ‘Options’ or ‘Enable Content’ buttons in the message bar found towards the top of any worksheet.

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Step 4: Complete worksheet 2: users data

Users should input the required data regarding the date and venue of the assessment exercise (including details of any workshop/meeting at which the assessment was conducted, if applicable), the type of assessment being conducted, and the basic personal and contact details of all participants (name, gender, nationality, institution, position and email address). This information is important to provide a record of who contributed to each assessment (e.g. it may be important to involve the same participants in a subsequent assessment exercise) and allows for future follow-up with participants to gather further information if necessary.

In order to correctly categorise the type of assessment being conducted (see 3.3: Self or External/Peer-Assessment?), the following definitions should be used:

● Self-assessment: All users (excluding facilitators) participating in the assessment are themselves the subject of the assessment as individuals or as part of the organisation or network being assessed.

● External or peer assessment: None of the users participating in the assessment are themselves the subject of the assessment as individuals or as part of the organisation or network being assessed.

● Combination of self and external or peer assessment: Some but not all of the users participating in the assessment are themselves the subject of the assessment as individuals or as part of the organisation or network being assessed.

Step 5: Complete worksheet 3: objectives

Worksheet 3 provides an opportunity for all participants in the assessment to agree on ‘who needs capacity for what, and what kind of capacity they need’. Completing the worksheet consists of entering text in the table, but the real value will come through consideration and discussion of what should be entered into each cell and the increased and shared understanding that this will generate (see 3.3: Capturing Learning).

Users should provide the following:

● A description of the desired objective for which capacity is required.

● A description of their vision of an individual, organisation or network with the necessary capacity.

● A list of the individuals, organizations and/or networks whose capacity is being assessed.

Users should then consider each of the Capacity Elements in turn (referring back to the relevant Definitions and Guidelines) and decide which of them are relevant and/or important enough to include in the assessment, given the desired objective and the vision of what kind of capacity is required. This decision will inform the choice to include or exclude each Capacity Element from the assessment that will be made in Worksheets 4 – 6. For those Capacity Elements that are considered relevant and important, users should then provide:

● Specific descriptions of the minimum required and/or optimal situation for each Capacity Element.

Discussion around what constitutes the minimum required and/or optimal level for each Capacity Element, based on the concepts described in section 2.1: How much Capacity?, will help users to assign scores in Worksheets 4 – 6 (see 3.3: Defining Minimal and Optimal Capacity).

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Figure 4. Screenshot of the format for each Capacity Element. Example uses Knowledge and Awareness from the Organisation Scale assessment.

For entering values in the Answer column for each Capacity Element, the user is required to:

1. Decide whether or not to include the Capacity Element in the assessment.

2. Assign a value for Capacity, indicating the current level of capacity relative to a minimum required or optimal target.

3. Assign a value for Feasibility, indicating the degree of difficulty associated with strengthening capacity.

Explanatory comments for the choice of value can be entered in the relevant Remarks cells. Further detail for each of these steps is presented below.

a) Should the Capacity Element be included in the assessment?

● This cell determines whether the Capacity Element is considered further as part of the assessment exercise, based on its relevance and/or importance. In assessing relevance, users should consider whether any aspect of the Capacity Element does or might (if things change) enhance or constrain overall capacity to achieve the desired objective. In assessing importance, users should consider which Capacity Elements they wish to focus on during the exercise, which may be all of those considered relevant or a subset of these based on an initial prioritisation. Users who complete Worksheet 3 prior to this step will already have made this decision.

Step 6: Complete worksheets 4 – 6: competencies/internal attributes, resources and enabling environment

Worksheets 4 – 6, list the Capacity Elements within each of the three Capacity Components:

● Worksheet 4 covers Competencies/Internal Attributes.

● Worksheet 5 covers Resources.

● Worksheet 6 covers Enabling Environment.

Figure 4 shows a screenshot of the format for each Capacity Element, using Knowledge and Awareness from the Organisation Scale assessment as an example.

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● Users should choose YES or NO (from the drop down list) to indicate whether or not the Capacity Element is to be included in the assessment.

● If the answer is YES, the user should continue to enter responses for Capacity and Feasibility.

● If the answer is NO, the user should skip this Capacity Element entirely and move on to the next Capacity Element. Answering NO will cause this Capacity Element to ‘close’ and be excluded from the results provided in Worksheets 7 and 8 (see below).

● To reverse their decision, users simply return to the drop down list. Selecting YES, after previously selecting NO, will ‘open’ the table for that Capacity Element and ensure its inclusion in Worksheets 7 and 8.

● Explanatory remarks to clarify the decision should be entered into the Remarks cell, e.g. to explain why a NO response is given or to highlight particularly important aspects of the Capacity Element that trigger a YES response.

b) Capacity: What is the level of current capacity?● This cell records the level of current capacity

relative to the minimum required level and the optimal level.

● Users should enter a number between 0 and 10 using the scale shown below in Figure 5. A higher number reflects a higher level of current capacity. In assessing current capacity, users should consider the guidance description of the optimal situation (presented in the relevant Definitions and Guidelines) and their own description (from Worksheet 3, if completed) of what constitutes the minimum required and/or optimal level of capacity. If current capacity is already optimal, a value of 10 should be assigned as per the scale. If current capacity is already at or above the minimum required level, a value of 7 or higher should be assigned. The cell will be automatically colour-coded based on the number entered (see Figure 5).

● Explanatory remarks, where necessary to clarify the response or add important detail, should be entered into the Remarks cell, e.g. to explain why a particular response has been given or to highlight particularly important aspects of the Capacity Element that need to be addressed.

Figure 5. Scale and key for Capacity assessment

10 2 3 4 5 6 7 8 9 10

No Capacity Low Capacity Partial Capacity Sufficient Capacity Optimal Capacity

KEYNo Capacity (0): No capacity exists to achieve the desired objective. Big improvements in capacity are necessary to achieve even the minimum required standard.

Low Capacity (1 – 3): Little capacity exists and it is far from sufficient to achieve the desired objective. Big improvements in capacity are necessary to achieve even the minimum required standard.

Partial Capacity (4 – 6): Some capacity exists but it is not quite sufficient to achieve the desired objective. Small to medium improvements in capacity are necessary to achieve the minimum required standard. Big improvements in capacity are necessary to achieve the optimal level of capacity.

Sufficient Capacity (7 – 9): The current level of capacity is already good enough to achieve the desired objective to the minimum necessary/acceptable standard but not as good as it needs to be to achieve the desired objective to the best possible standard. Small to medium improvements in capacity are necessary to achieve the optimal level of capacity but may not be critical.

Optimal Capacity (10): The current level of capacity is as good as it needs to be to achieve the desired objective to the best possible standard. No improvement in capacity is necessary.

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10 2 3 4 5 6 7 8 9 10

Not Possible Very Difficult Difficult Easy Very Easy

KEYNot Possible (0): It is not possible to improve capacity sufficiently to achieve the desired objective, even to the minimum necessary/acceptable standard.

Very Difficult (1 – 3): Improving capacity sufficiently to achieve the desired objective, at least to the minimum necessary/acceptable standard, is possible but is considered relatively difficult to achieve.

Difficult (4 – 6): Improving capacity sufficiently to achieve the desired objective, at least to the minimum necessary/acceptable standard, is possible although not easy to achieve.

Easy (7 – 9): Improving capacity sufficiently to achieve the desired objective, at least to the minimum necessary/acceptable standard, is possible and is considered relatively easy to achieve.

Very Easy (10): Improving capacity sufficiently to achieve the desired objective, at least to the minimum necessary/acceptable standard, is possible and can be achieved very easily.

c) Feasibility: How feasible is it to improve capacity?● This cell records the feasibility of improving

capacity to the minimum required level or, for those Capacity Elements where current capacity is already at 7 or above, to a higher level, through one or more capacity development interventions.

● Users should enter a number between 0 and 10 using the scale shown below in Figure 6. A higher number reflects a higher level of feasibility. The cell will be automatically colour-coded (as per Figure 6) based on the number entered.

● In assessing the feasibility of improving capacity, users should:

1. consider the size of the current capacity gap (the difference between the value given for Capacity and the minimum required or optimal level);

2. identify what type of capacity development interventions are necessary/appropriate (the guidance in the relevant Definitions and Guidelines may help);

3. consider the degree of technical difficulty involved; and

4. consider the degree of motivation for change that exists amongst the people concerned.

While cost is important, it may not be the most important constraint to consider (see 3.3: Key Issues for Consideration: Assessing Feasibility).

● Explanatory remarks, where necessary to clarify the response or add important detail, should be entered into the Remarks cell, e.g. to explain why a particular response has been given or to highlight particularly important considerations regarding any capacity development intervention.

Figure 6. Scale and key for Feasibility assessment

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Step 7: Review worksheet 7: results by spheres

Once all the values and remarks have been entered into Worksheets 4 – 6, users should review the summary results, based on the values entered, that are automatically generated in Worksheet 7 (Results by Spheres). In Worksheet 7 Capacity Elements are presented within the three Capacity Spheres categories. In Worksheet 8 (Overall Summary & Decisions), Capacity Elements are presented regardless of their Capacity Component category. In both worksheets, Capacity Elements are automatically sorted according to the following rules:

● First order filter: Capacity – Capacity Elements with a lower value for Capacity are presented at the top.

● Second order filter: Feasibility – Capacity Elements with a higher value for Feasibility are presented at the top.

In this way, users can see the implications of the values they have entered in Worksheets 4 – 6 in terms of:

● Which of the Capacity Elements are currently furthest from the minimum required or optimal capacity level?

● Which of the Capacity Elements are considered the most feasible to improve?

As such, Worksheet 7 provides input into the next stage of the capacity development process, i.e. capacity development design and implementation (see Step 8 below). Based on a review of these summary results and consideration of the implications for capacity development design and implementation, users can return to Worksheets 4 – 6 and make any changes to the values entered in the relevant cells (which will, in turn, change the summary results presented in Worksheet 7).

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Step 8: Complete worksheet 8: overall results & decisions

In Worksheet 8, the results of the assessment are presented again but this time Capacity Elements are listed regardless of the Capacity Sphere within which they sit. The order in which Capacity Elements are sorted is the same as for Worksheet 7, i.e. by lowest capacity as the first

filter and then by highest feasibility as the second filter. In addition, Worksheet 8 includes cells requiring user input in a Capacity Development Decision column and a Remarks column. Figure 7 below shows a screenshot of the format of Worksheet 8.

Figure 7. Screenshot of the format of Worksheet 8.

For each Capacity Element presented in Worksheet 8, users should now make a decision regarding whether or not a capacity development action will be implemented. To do this users

have the choice of five decisions (in a drop down list) to enter in the relevant cell in the Capacity Development Decision column. The five decision options are presented below in Figure 8.

Yes, with current resources. Capacity development activities will be carried out for this capacity element, using currently available resources.

Yes, but need more resources – high priority. Capacity development activities will be carried out for this capacity element, but additional resources are required for this.

Yes, but need more resources – low priority. Capacity development activities will be carried out for this capacity element, but additional resources are required for this.

Sufficient capacity exists (score of 7 or more for Capacity). No further capacity development is required.

Not feasible or too difficult. Capacity development is necessary to achieve the overall capacity required but it is considered impossible or too difficult to achieve the minimum required level of capacity.

Figure 8. Capacity Development Decision options in Worksheet 8

Explanatory remarks, where necessary to clarify the decision made or add important detail, can then be entered in the appropriate cell in the Remarks column.

Note: Choosing the Not feasible or too difficult option for any Capacity Element should trigger a discussion amongst stakeholders regarding the viability of achieving the necessary overall capacity to achieve the objective. In effect this decision is recognizing that an element of the capacity required to achieve the objective to the minimum necessary/acceptable standard cannot be brought to the minimum required level through any capacity development intervention. If indeed achieving the minimum

level of capacity required for the Capacity Element in question is critical to achieving the overall capacity required (which is the logical conclusion of including the element in the assessment in the first place, in Step 6a) then this indicates that the objective cannot be met and alternative plans should be considered.

The completed Worksheet 8 then forms the basis of a Capacity Development Strategy, identifying which Capacity Elements will be strengthened or addressed through a capacity development intervention using currently available resources and which will be addressed at a later stage once additional resources are required.

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Step 9 (optional): Copy and complete worksheet 9: Capacity Development Action Plan

Worksheet 9 is a template for the development of a Capacity Development Action Plan for each Capacity Element that will be strengthened or addressed by a capacity development intervention, as indicated by the choices made in completing Worksheet 8. This step is optional and users should copy the blank template as many times as necessary in order to complete a separate Capacity Development Action Plan for each of the relevant Capacity Elements. Depending on the value of this step, this may mean developing a Capacity Development Action Plan for all of the relevant Capacity Elements or just for those considered the highest immediate priority.

The Capacity Development Action Plan template provides space for users to record the following information:

a) The current Capacity score assigned to the Capacity Element

b) The required Capacity score targeted for the Capacity Element (must be 7 or higher)

c) An overall description of the capacity development objective for the Capacity Element, including identification of target individuals, organisations or networks

d) A specific capacity development target, which will be sufficient to warrant the required score for Capacity identified (step b above)

e) An appropriate capacity development indicator that can be used to track progress towards the capacity development target

f) A description of the proposed capacity development approach

Referring back to the information recorded in Worksheet 3 (Objectives), if completed, will help in completing these Capacity Development Action Plans.

Conducting user-defined assessments

The CDAT also includes an Excel spreadsheet for User-Defined Assessments, which allows users to either add completely new Capacity Elements to their assessment or examine certain existing Capacity Elements in more detail, e.g. by breaking Skills down into specific types of skills. A User-Defined Assessment can be conducted in the context of capacity at any of the three scales (Individual, Organisation or Network).

The decision to undertake a User-Defined Assessment replaces Step 1: Select the Assessment Scale. Step 2: Read the Relevant Definitions and Guidelines is not applicable as the user will create their own list of Capacity Elements. Therefore, in order to use the User-Defined Assessment spreadsheet, users should first follow Step 3: Enable Macros in the Excel Spreadsheet, Step 4: Complete Worksheet 2: Users Data and Step 5: Complete Worksheet 3: Objectives as above.

Completing Step 5 for a User-Defined Assessment is critical as users are required to list their own Capacity Elements in the table provided in Worksheet 3 (a maximum of 10 Capacity Elements can be entered). These user-defined Capacity Elements are then automatically copied into Worksheet 4 (Component X). Users then follow Steps 6 as above, using the same scales etc. – except that instead of the three worksheets, there is just one. The “Include?” question is preset to ‘Yes’ as all Capacity Elements are, by definition, considered important to include in the assessment. The values entered into Worksheet 4 during Step 6 are used to automatically populate Worksheet 5 (Overall Priority) in the same way as described above, and Steps 7 and 8 for a User-Defined Assessment are also the same as above, consisting of reviewing the summary results in Worksheet 5 (Step 7) and completing Worksheet 6: Overall Results & Decisions (Step 8).

The number and structure of User-Defined Assessments is entirely at the discretion of the users.

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3.3 KEY ISSUES FOR USING THE CDAT

When to use the CDAT?

The CDAT can be used at various stages in a typical project cycle. As a tool to support both design and evaluation of capacity development projects, the maximum benefits of using the CDAT are likely to be realised when it is used during the planning stage of a project and at least once more at the end of the project. In an ideal world, an assessment using the CDAT could be used to inform the development of project plans and funding proposals. However, given the challenges of funding this kind of early planning work (before a fundraising proposal is written) it may only be possible to use the CDAT to conduct a preliminary assessment before conducting a more comprehensive assessment as one of the first project activities. For projects that are already underway, the CDAT may still be a useful tool, e.g. to strengthen the capacity development activities to be carried out in the remainder of the project and/or to create a baseline where none exists. Clearly the value of using the CDAT for evaluation at the end of a project depends on it having been used at an earlier stage so that some form of baseline exists, but even in the absence of a baseline an end of project assessment can also be valuable as a basis for understanding what the project did and did not achieve, and planning and justifying subsequent follow-up projects.

Managing expectations

When the CDAT is used with external partners it is important to ensure clarity and manage expectations about how the results will be used, and what are the possible limits to addressing the capacity development needs identified. This is particularly true when the CDAT is used at an early stage in the project cycle when expectations and relationships are being established.

Because the CDAT deliberately includes a wide range of Capacity Elements, to ensure a holistic picture of capacity, there is the potential to identify many capacity development needs. Some of these needs may not be the anticipated or intended focus of subsequent interventions, either because of the nature of the potential funding or because the type of support required is beyond the technical expertise of the project implementing organisation. For example, Finance is a Capacity Element under the Resources Capacity Sphere at all three assessment scales. In the event that a need to increase access to finance is identified as a priority capacity development need, it would be important to ensure that expectations on all sides, regarding whether or not this can be addressed by the project being planned or by other means, are aligned.

Given the extent to which many of the Capacity Elements may be interrelated (2.5 Capacity Spheres and Elements), one possibility is that a lack of capacity with respect to one Capacity Element, whilst not addressed directly, can be addressed indirectly by strengthening capacity with respect to another Capacity Element. For example, the need to increase access to finance can either be addressed directly by providing access to funds or indirectly by strengthening skills in fundraising.

If a key capacity development need cannot be addressed by the project being planned then the possibility of other ways of addressing the capacity need should be examined. If such a possibility is low then this lack of capacity may be a key factor in deciding whether to continue with the project or not.

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Self or external/peer-assessment?

The CDAT can be used by an organisation's partner individuals, organisations or networks, for them to conduct a self-assessment of their own capacity development needs. Alternatively, the CDAT can be used to conduct an external or peer-assessment of the capacity of specific individuals, organisations or networks. There are advantages and disadvantages to each approach, which should be considered beforehand, and some combination of self-assessment and external/peer assessment is also an option.

The CDAT is intended principally to assess and prioritise capacity development needs for specific projects or programmes. It may be used as part of an internal project scoping and design activity, to help clarify the project team’s views and understanding of the current capacity gap in a given context. In this case the information used and generated is based on the perceptions and knowledge of the staff of the situation in which the project will work. The CDAT may also be used as part of a collaborative project design process with ‘beneficiary’ partners, where they use it to conduct a self-assessment of their capacity situation, objectives and needs. The results of the assessment then inform the joint definition of project objectives, strategies and indicators for capacity development.

Self-assessments, where possible and appropriate, may have an added advantage of increasing the self-awareness of those conducting the assessment and thereby increasing motivation to address their capacity development needs. But, a self-assessment does require the user/s to be self-critical to the appropriate extent, by neither overestimating or underestimating their own capacity, and being willing to share their needs with others. This may be particularly challenging for certain Capacity Elements such as Attitudes and Values and Goals at the Individual Scale, which pertain to personal image and behaviour. It may also be challenging for a user conducting a self-assessment to objectively assess the feasibility of strengthening their own capacity. All of these challenges may be overcome to some extent by combining self-assessment and external/peer assessment in some way (e.g. one combined assessment or combining the results of separate self and external/peer assessments), but in any case, the interpretation of the results of an assessment should take into account the type of assessment conducted.

One note of caution relates to the use of the CDAT to create a baseline and measure impact through subsequent assessments. If an external or peer assessment is conducted without input from other stakeholders who are not involved in or responsible for any project implementation, the legitimacy of the assessment results, in terms of being an objective assessment, may be questioned given the potential vested interest of project implementing partners in demonstrating capacity development need and or impacts. That said, there is clearly still a value in conducting such an assessment, as it will increase understanding of the needs and inform project planning.

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Level of facilitation

Circumstances like project timing and funding will often determine, as much as objectives, what type of assessment is appropriate. One of the most important considerations however is the level of facilitation that is required to ensure that the CDAT generates useful information and contributes positively to overall goals. This is particularly true when the CDAT is used for self-assessments. While it is certainly a possibility to provide the CDAT to partners and ask them to follow the guidance to conduct their own self-assessment, the extent to which this is likely to achieve the desired result should be considered, and the appropriate level of support and facilitation (ranging from support via email or phone to a fully facilitated process) should be provided if at all possible. The same applies to external/peer assessments, especially when people experienced with using the CDAT are not part of the user group.

Combining separate assessments

Another consideration, made possible by the format of the CDAT, is whether, and if so how, to combine the results of multiple separate assessments. For example, a number of individuals or groups could complete the assessment separately and then the results of these separate assessments could be combined into one overall assessment. Again, there are advantages and disadvantages to using such an approach but, in some cases, this may be the only realistic option, e.g. when individuals or groups are widely dispersed and unable to convene to conduct a joint assessment. If this approach is taken, there are different ways in which the numerical values and text entries generated can be combined – and the coordinator of the assessment process should give this some consideration beforehand and ensure that all participants in the process are aware of how this will be done.

What assessment scale?

One of the first decisions to be made when using the CDAT is which assessment scale is appropriate. In many cases this will be obvious but in others it may not be so obvious as the three scales are interrelated. One option is to consider conducting an assessment at more than one scale. For example an initial assessment at the Network scale may be followed by one or more assessments of organisations within the network using the Organisation scale assessment. Many of the Capacity Elements built in to the assessments at each scale will indicate whether a further assessment at another scale may be necessary or useful, e.g. assessments of Organisation Capacity and Individual Capacity at the Network scale should indicate whether further assessments at the Organisation and/or Individual scale are necessary.

Defining minimal and optimal capacity

The CDAT is designed around the concepts of ‘minimum required capacity’ and ‘optimal capacity’, as described in section 2.3. Completing Worksheet 3 (Objectives) helps to establish a common understanding amongst users of what, for each Capacity Element, constitutes the minimum required level and the optimal level of capacity. Ideally, users can agree on descriptions for each level of capacity, or at least identify the key criteria that define each level, i.e. what is the ‘minimum capacity required’ and what additional capacity is necessary for the ‘optimal’ concept to apply. The decision to assign a value for Capacity of less than 7 (see Step 6 b) in section 3.2) then becomes a clear statement that the minimum required capacity does not currently exist.

If combining the results of separate assessments (see 3.3: Combining separate assessments), care should be taken in interpreting the results if it is possible that different users have applied different understandings of what constitutes the minimum required and the optimal capacity.

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Which Capacity Elements to include?

In seeking to provide a comprehensive and systematic assessment of the key factors that determine ‘capacity’, the CDAT includes a number of predetermined Capacity Elements. However, it is recognised that each assessment context is unique and it may be appropriate to focus an assessment on a subset of these Capacity Elements. The CDAT allows for such a focus by providing the option to exclude any Capacity Element that is not considered relevant or enough of a priority at the time of the assessment. What is relevant and a priority may be very obvious at the outset, but in many cases it will be valuable to consider each Capacity Element in turn before making the decision to include it or not in the assessment. The Definitions and Guidelines (Appendices 4.2-4.4) for the appropriate assessment scale should be read through carefully, so that all users are clear what each Capacity Element covers and how it might be relevant to their specific situation. Equally, Step 5 in the assessment (worksheet 3 in all spreadsheets) of defining the desired objective and the type and level of capacity required to achieve this will help users to think about the relevance and relative importance of each of the Capacity Elements included in the CDAT.

The User-Defined Assessment template (section 3.2: Conducting user-defined assessments) of the CDAT allows users to define additional Capacity Elements for an assessment. These new Capacity Elements may be equivalent in nature to those already listed (filling a perceived gap in the CDAT) or they may be more specific aspects of an existing Capacity Element, e.g. specific types of Skills or Knowledge and Awareness that are relevant to the assessment being conducted.

Capturing learning

The CDAT is designed to generate numerical values for levels of capacity as a basis for evaluation of capacity development impact. Whilst this is a strength of the CDAT, there is also a danger of giving too much importance to the numerical values, and care should be taken to avoid an assessment becoming simply an exercise to generate these numbers rather than identification of priority capacity development needs.

As with all such tools, much of the value of the CDAT, in terms of increased understanding and strengthened collaboration around capacity development needs, is generated during the assessment process, including through discussions amongst users. It is important to try and capture this learning in the cells available for written comments (the facilitation of the assessment process, discussed in section 3.3: Level of facilitation, is important). Used properly, the CDAT can in itself contribute to capacity development, through the process of defining the minimum and optimal capacity required for a specific situation and, if the definition of the desired state is conducted in a collaborative manner amongst project partners, the consideration of the scope of capacity elements in the CDAT may lead to improved understanding of a situation and opportunities to address it.

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Assessing feasibility

When determining the feasibility of strengthening capacity for a given Capacity Element the guidance provided for Step 6c (section 3.2: Step 6) is to consider both the technical difficulty involved in strengthening capacity as well as the motivation for development of the capacity.

Technical difficulty might include both the difficulty of implementing the appropriate capacity development intervention as well as the complexity of the required capacity. While cost might be an important factor in determining the likelihood that a given capacity development intervention can be implemented, it should not be the main consideration used to determine the feasibility of strengthening capacity to the desired level.

Considering the motivation for change is also important. Users conducting a self-assessment may have a different perspective on this question than those conducting an external or peer assessment, and this may be an important factor in determining what type of assessment is appropriate (see 3.3: Self or external/peer assessment?). When considering aspects of the Enabling Environment where the change that is required is external to the individual, organisation or network whose capacity is being assessed, it is the motivation of one or more external agents/entities that needs to be considered.

Feasibility should be assessed in relation to achieving the desired level of capacity whether this is the minimum required level or higher. Where appropriate it will be helpful to document in the Remarks cell what level of capacity is being targeted (i.e. 7 or higher) so that the value assigned for Feasibility can be understood in this context.

In the event that Feasibility is assessed as 0 (Not Possible) for one or more Capacity Elements that have a current Capacity value of less than 7, i.e. less than the minimum required level, the only possible interpretation is that it is impossible to achieve the minimum overall level of capacity required to achieve the desired objective to the minimum required or acceptable standard. This should be used to trigger a discussion around the implications of this interpretation, e.g. should other capacity development interventions be implemented if the overall target cannot be achieved, are there other ways to address this constraint to achieving the desired objective?

40 4.1 FRAMEWORK OF DECISION-MAKING COMPONENTSWhen a person or organisation is asked to make a decision concerning biodiversity their decision-making process may be grouped into two phases of consideration:

1. Relevance - is this issue relevant or important enough to take action on it? If the answer to this phase is yes then the second phase of decision-making is considered:

2. Feasibility - is taking action possible?

Only if an issue is considered to be both relevant and have feasible actions will a decision be made to take action.

Both the Relevance and Feasibility phases of decision-making contain several factors and each factor needs to be in a minimum condition for a decision to be made that will result in action. The decision-making factors can be categorised as:

Relevance Phase - is this issue important enough to consider taking action on it?

Awareness – are the decision makers aware of the existence of the issue?

Knowledge – do the decision makers have the necessary data and information? (this is distinct from ‘know how to’, i.e. understanding and skills to use the information or take actions).

Understanding – do the decision makers have sufficient understanding of the issue to analyse it and consider options?

Goals and objectives – does the issue of concern support or align with the decision-makers’ goals and objectives? Is it relevant or important enough to be considered?

Values and attitudes – does the issue of concern support or align with the decision makers’ values about how they behave, such as working with integrity or in partnership.

Feasibility Phase - is taking action possible?

Methods and tools – do the decision makers have the necessary methods and tools to take actions?

Skills – do they have the necessary abilities to conduct the actions?

Resources – do they have the resources to carry out the actions? Resources can be sub-divided into various categories.

Enabling environment – does the social and cultural context of the decision makers allow or prohibit the intended actions? The enabling environment can be sub-divided into various categories.

The factors in this framework of decision-making components have been incorporated into the Capacity Development Assessment Tool. In the CDAT the factors of Resources and Enabling Environment are sub-divided into various categories of relevance to capacity for biodiversity and environmental management decision-making.

There is overlap amongst the factors and how they influence each other, particularly for those in the Relevance phase. For example, values influence goals and objectives. Similarly, values and goals can act as filters on what an individual or organisation is aware of and how they understand an issue. In reality, the decision-making process of a whole person or organisation is not just a linear, rational, step-by-step sequence. However, for the purpose of capacity development for decision-making it is still useful to identify and assess the factors involved. The sequence of presentation and assessment of the factors in the above framework is significant, from awareness to resources, as the existence of a minimum condition of each factor in turn will determine whether the decision-making process will continue.

4. Appendices

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Illustrations of the decision-making factors

Will an individual or 0rganisation decide to take actions to manage their environment or change their behaviour to promote the conservation of rare species on land that they own?

Relevance Phase - is this issue important enough to consider taking action on it?

Awareness – are they aware of the existence of the rare species? If they are unaware of its existence then they will not take any decisions or actions for its conservation.

Knowledge – do they have information on the status of the rare species and where they occur? Without basic facts or data on the rare species then no assessment can be made by the decision maker of its importance to them or not, or what actions for its conservation might involve.

Understanding – do they have sufficient understanding of the needs of the rare species and why they are rare, and how this relates to the land being managed and the choices for management? Such understanding may be technical and based on experience and expert input. Understanding and analyses of an issue will also be influenced by each decision maker’s mental models of ‘how the world works’, such as how they understand people’s behaviour or what is likely to happen in a particular situation.

Goals and objectives – do their aims include conservation of rare species or is the subject not of importance to them, or are other issues more important? Even if there is full awareness, knowledge and understanding of an issue, no decision will be taken to even examine possible changes in action or behaviour if it doesn’t support or align with the decision maker’s goals and objectives.

Values and attitudes – does taking action for the conservation of rare species support or conflict with the values of the decision maker? One definition of values can be ‘what is valued or important’, such as security, family life, or prestige, and so overlaps with goals. Values can also be defined in terms of behaviour. A person or organization can have values about how they should behave and be seen to behave, such as working with integrity or in partnership.

Feasibility Phase - is taking action possible?

Methods and tools – do they have the necessary methods and tools for the actions to conserve the rare species?

Skills – do they have the necessary abilities to conduct the actions to conserve the rare species?

Resources – do they have the resources for the actions to conserve the rare species, such as people to work with, money, or political influence?

Enabling environment – are the organizations, mechanisms, legal framework and cultural norms for making decisions and implementing actions effective or suitable for the actions to conserve the rare species?

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The Framework can be used to define the minimum or necessary capacity required to fulfil a role or function. For example:

Elements of necessary capacity development for an individual to provide technical support for the development biodiversity indicators for a National Biodiversity Strategy:

Awareness of:

● biodiversity indicators as a concept/tool

● the uses and benefits of indicators

Knowledge of:

● the Strategic Plan for Biodiversity 2011-2020 and the Aichi Targets, and global indicators for these targets

● the National Biodiversity Strategy

● the Biodiversity Indicators Partnership (BIP) – what it is and its resources

● the existence of related national indicator initiatives

● availability of relevant data

● CBD reporting responsibilities and those of other MEAs

Understanding of:

● what is an indicator and a successful indicator

● indicators in relation to target setting and tracking

● how to use the Biodiversity Indicator Development Framework

● the requirements of systematic monitoring systems

Goals and Objectives encouraged:

● to produce indicators for national priorities

● to harmonise indicators for multiple reporting requirements

Values and attitudes encouraged:

● to use indicators as part of evidence-based policy making and implementation

● collaborative indicator development

Methods and tools available:

● Biodiversity Indicator Development Framework guidance

● BIP workshop manual and exercises

● e-learning modules and certification

● BIP website

● network of contacts on biodiversity indicators and access to technical support

● access to data sets

Skills developed:

● how to develop an indicator, including having clarity of purpose, understanding of the data, appropriate and effective treatment of the data

● how to use and interpret indicators to measure progress and for policy making

● how to effectively communicate indicator messages

● how to share examples of successful monitoring and reporting systems

Resources obtained or developed:

● sufficient financial resources to provide technical indicator development support

● partnership with BIP secretariat in designing technical support for indicator development

Enabling Environment encouraged:

● having authority and credibility from the national responsible agency for indicators relevant to biodiversity/NBSAP

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4.2 CAPACITY ELEMENT DEFINITIONS AND DEVELOPMENT OPTIONS FOR THE INDIVIDUAL SCALE

A. Competencies refers to characteristics or abilities of the Individual that can be strengthened or transformed to increase capacity to achieve the desired objective.

A.1 Knowledge and Awareness

A.1 Knowledge and Awareness refers to the whole range of knowledge and awareness of the Individual that is relevant to their ability to achieve the desired objective, e.g. understanding of biodiversity or ecosystem processes.

The optimal situation regarding Individual knowledge and awareness is in place when:

● the Individual has all of the knowledge and awareness that they need in order to plan, implement and evaluate any task necessary for them to achieve the desired objective, i.e. there are no gaps in the Individual’s knowledge and awareness.

Potential capacity development interventions to improve Individual knowledge and awareness include:

● training or awareness raising activities to increase the Individual’s knowledge and awareness in relevant areas.

A.2 Skills

A.2 Skills refers to the whole range of skills that the Individual has that are relevant to their ability to achieve the desired objective, e.g. ecological modelling or stakeholder analysis.

The optimal situation regarding Individual skills is in place when:

● the Individual has all of the skills that they need in order to plan, implement and evaluate any task necessary for them to achieve the desired objective, i.e. there are no gaps in the Individual’s skill set.

Potential capacity development interventions to improve Individual skills include:

● training to increase the Individual’s level of skill in relevant areas.

A.3 Attitudes and Values

A.3 Attitudes and Values refers to the whole range of attitudes and values held by the Individual that either support or constrain their ability to achieve the desired objective, e.g. confidence, problem-solving, honesty, work ethic, respect for the environment etc.

The optimal situation regarding Individual attitudes and values is in place when:

● the Individual’s attitudes and values support, or at least do not constrain, their ability to plan, implement and evaluate any task necessary for them to achieve the desired objective.

Potential capacity development interventions to change Individual attitudes and values include:

● training or awareness raising activities to change the Individual’s attitudes and values in relevant areas; and

● introduction of incentives or disincentives to encourage different Individual attitudes and values in relevant areas.

A.4 Goals

A.4 Goals refers to the personal and professional goals of the Individual that influence the way in which they approach the task of achieving the desired objective, e.g. personal benefit versus social equity or environmental sustainability.

The optimal situation regarding Individual goals is in place when:

● the Individual’s goals are fully aligned with, or at least do not conflict with, the desired objective.

Potential capacity development interventions to change Individual goals include:

● training or awareness raising activities to change the Individual’s goals in relevant areas;

● introduction of incentives or disincentives to encourage different Individual goals in relevant areas.

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B. Resources refers to materials, services or other assets that can be supplied to and/or accumulated by the Individual to increase capacity to achieve the desired objective.

B.1 Data and Information

B.1 Data and Information refers to data and information that are/is necessary for the Individual to achieve the desired objective, e.g. spatial datasets, species lists and environmental statistics.

The optimal situation regarding data and information exists when:

● all the data and information that are/is necessary for the Individual to achieve the desired objective exists in the required format;

● the Individual has full access, as and when needed, to any data and information that are/is necessary for them to achieve the desired objective.

Potential capacity development interventions, to generate and/or improve access to data and information include:

● identifying ‘unknown’ sources of required data and information;

● conducting or commissioning research and/or analyses or syntheses of existing data to generate the required data and information;

● developing and disseminating tools that provide access to required data and information;

● training the Individual to generate or access required data and information;

● removing current barriers to accessing sources of data and information;

● ensuring sustainability of access to required data and information through the development of effective data management systems.

B.2 Finance

B.2 Finance refers to financial resources that are necessary for the Individual to achieve the desired objective, e.g. to purchase other resources or to pay operational costs.

The optimal situation regarding finance exists when:

● sufficient financial resources are available; and

● the Individual has full access, as and when needed, to sufficient financial resources that are necessary for them to achieve the desired objective.

Potential capacity development interventions to generate and improve access to financial resources include:

● lobbying/advocating for increased financial resources to be allocated to the Individual or in support of the desired objective;

● acquiring financial assistance for the Individual through fundraising and/or through budget allocation;

● training the Individual to better access existing sources of financing;

● developing revenue generation mechanisms for the Individual; and

● reviewing and redirecting financial allocations made by the Individual.

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B.3 Tools/Technology

B.3.1 Equipment refers to equipment that is necessary for the Individual to achieve the desired objective, e.g. computers and GPS units.

The optimal situation regarding equipment exists when:

● all necessary equipment has been developed and is available, i.e. there is no need for the development of any new technology to fill a gap; and

● the Individual has full access, as and when needed, to sufficient equipment that is necessary for their ability to achieve the desired objective.

Potential capacity development interventions, to generate and improve the access to equipment include:

● providing equipment (or the financing for the equipment) that the Individual needs;

● training the Individual to better access existing equipment;

● developing new forms of technology to fill a current gap in equipment needs;

● coordinating alliances and strengthening networking or partnerships to allow technology transfer; and

● reviewing and redirecting financial allocations made by the Individual to ensure sufficient financing for equipment needs.

B.3.2 Software refers to software that is necessary for the Individual to achieve the desired objective, e.g. ecological modelling software or project planning software.

The optimal situation regarding software exists when:

● all necessary software has been developed and is available, i.e. there is no need for the development of any new software to fill a gap; and

● the Individual has full access, as and when needed, to software that is necessary for their ability to achieve the desired objective.

Potential capacity development interventions, to generate and improve the access to software include:

● providing software or software licences (or the financing for the software) that the Individual needs;

● training the Individual to better access existing software;

● developing new forms of software to fill a current gap in software needs;

● coordinating alliances and strengthening networking or partnerships to allow technology transfer; and

● reviewing and redirecting financial allocations made by the Individual to ensure sufficient financing for software needs.

B.4 Partners

B.4 Partners refers to other individuals or organisations whose capacity to perform a specific complementary function, provide technical advice or facilitate access to other resources, for a fee or otherwise, is necessary for the Individual to achieve the desired objective, e.g. a technical specialist or a donor.

The optimal situation regarding partners exists when:

● potential partners with the necessary expertise, resources and contacts exist; and

● the Individual has relationships with and full access to the services of all necessary partners, as and when needed, to support the Individual in achieving the desired objective.

Potential capacity development interventions, to improve access to partners include:

● identifying and creating connections with new potential partners as per the needs of the Individual;

● training the Individual to source partners and build and maintain strong partnerships;

● coordinating alliances and agreements and strengthening networks to enhance access to partners;

● providing financing to ensure Individual access to partner services; and

● reviewing and redirecting financial allocations made by the Individual to ensure sufficient financing for partner services.

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B.5 Infrastructure

B.5 Infrastructure refers to the physical structures and services that are necessary for the Individual to achieve the desired objective, e.g. buildings, power supply, transport and communication networks.

The optimal situation regarding infrastructure exists when:

● the Individual has access to suitable working environments, with stable power supplies and secure and sufficient communication networks, as necessary for them to operate effectively; and

● the Individual has access to safe and efficient transport networks, as necessary for them to operate effectively.

Potential capacity development interventions, to generate and improve access to infrastructure include:

● providing or removing barriers to access to existing infrastructure (or the financing required to gain access) that the Individual needs; and

● developing new infrastructure to meet the needs of the Individual.

C. Enabling Environment refers to external factors that support or constrain the capacity of the Individual and which can be influenced in order to increase capacity to achieve the desired objective.

C.1 Authority and Credibility

C.1.1 Authority refers to any formal or informal mandate, bestowed by an external entity, establishing the power or right to give and enforce orders, commit resources, and make recommendations or decisions, which is necessary for the Individual to achieve the desired objective, e.g. job description, letter of authorisation etc.

The optimal situation regarding the Individual’s authority exists when:

● the Individual has all necessary authority to give and enforce orders, commit resources, and make recommendations or decisions, which is necessary for the Individual to achieve the desired objective; and

● all external entities with which the Individual interacts in performing tasks related to achieving the desired objective recognise and respect the Individual’s authority to perform these tasks and, where applicable, respond to orders or requests accordingly.

Potential capacity development interventions, to strengthen the authority of the Individual include:

● identifying gaps in necessary authority and consultation and advocacy with relevant external entities to ensure all relevant authority is bestowed upon the Individual, including where necessary establishing formal permissions etc.; and

● outreach and/or awareness raising with relevant audiences to clarify the authority bestowed upon the Individual, including where necessary the justification for that authority.

C.1.2 Credibility refers to the perceptions and opinions held by external entities, regarding the Individual’s capacity and legitimacy, which determine the Individual’s capacity to achieve the desired objective, e.g. perceptions of trust or opinions on the quality of work.

The optimal situation regarding the Individual’s credibility exists when:

● all external entities with which the Individual interacts in performing tasks related to achieving the desired objective recognise and respect the Individual’s capacity to perform these tasks; and

● all external entities with which the Individual interacts in performing tasks related to achieving the desired objective recognise and respect the Individual’s legitimacy in performing these tasks.

Potential capacity development interventions, to strengthen the credibility of the Individual include:

● outreach and awareness raising with targeted external audiences to demonstrate the capacity and legitimacy of the Individual to perform the tasks necessary for achieving the desired objective.

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C.2 Incentives

C.2 Incentives refers to both negative and positive incentives (potential costs or benefits), applied to the Individual by any external entity, that enhance or reduce the likelihood that the Individual will apply themselves to achieving the desired objective, e.g. sanctions, peer pressure or financial rewards.

The optimal situation regarding the Individual’s incentives exists when:

● all possible (realistic) and necessary positive incentives are in place, which encourage the Individual to apply their full capacity towards achieving the desired objective; and

● no disincentives are in place, which discourage the Individual from applying their full capacity towards achieving the desired objective.

Potential capacity development interventions, to change the incentives of the Individual include:

● introducing positive incentives that encourage the Individual to apply their full capacity to achieving the desired objective; and

● removing disincentives that discourage the Individual from applying their full capacity to achieving the desired objective.

C.3 Cultural Norms

C.3 Cultural Norms refers to the dominant shared perspectives and norms of behaviour adhered to in the wider working or social environment which influence the way the Individual operates and, therefore, their ability to achieve the desired objective, e.g. organisational or national norms relating to top-down hierarchical processes, work ethics, or ethnic/national stereotyping.

The optimal situation regarding external cultural norms exists when:

● the dominant and shared perspectives and norms of behaviour adhered to by the wider working or social environment within which the Individual operates enhance, or at least do not constrain, the efficiency and effectiveness of the Individual in terms of their ability to achieve the desired objective.

Potential capacity development interventions, to address external cultural norms include:

● outreach and awareness raising, with targeted external audiences, to try and change external cultural norms that constrain the capacity of the Individual to operate effectively and achieve the desired objective.

C.4 Legal and Policy Framework

C.4 Legal and Policy Framework refers to any local, national, regional or global legislation, regulations, policies, plans and strategies that are agreed and implemented and impact on the ability of the Individual to achieve the desired objective, e.g. laws concerning access to information.

The optimal situation regarding the legal and policy framework exists when:

● all relevant local, national, regional and global legislation, regulations, policies, plans and strategies enhance, or at least do not constrain, the efficiency and effectiveness of the Individual in terms of their ability to achieve the desired objective.

Potential capacity development interventions, to address the legal and policy framework include:

● review and revision of any relevant legislation, regulations, policies, plans and strategies to enhance or remove constraints upon the capacity of the Individual to operate effectively and achieve the desired objective.

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C.5 External Demands

C.5 External Demands refers to the number and scale of competing demands placed on the Individual by external entities, which influences the Individual’s allocation of its existing capacity to achieving the desired objective.

The optimal situation regarding the Individual’s external demands exists when:

● the number and scale of competing demands placed on the Individual is commensurate with the Individual’s capacity to fully meet all such demands to the required standard and within the required timeframe; or

● the achievement of the desired objective is the number one priority of the Individual and all necessary Individual capacity is allocated to achieving the desired objective regardless of the number and scale of other competing demands on the Individual’s capacity.

Potential capacity development interventions, to address the Individual’s external demands include:

● reducing or rescheduling the number and/or scale of competing demands placed upon the Individual, so that they are able to allocate the necessary capacity to achieving the desired objective.

C.6 Organisation Structure and Procedures

C.6.1 Organisation Structure refers to the component parts of any organisation that the Individual works within, i.e. the key departments/units and individual roles that form the organisation, and the way in which these departments/units and individual roles are organised in terms of their respective mandates and the reporting or management hierarchies, including any structures such as committees etc., which may influence the capacity of the Individual to achieve the desired objective.

The optimal organisation structure is in place when:

● the structure of the organisation of which the Individual is a part, enhances, or at least does not constrain, the ability of the Individual to perform the tasks required to achieve the desired objective, e.g. the Individual’s role is clear and not overlapping or conflicting with other individual roles, reporting and management relationships provide the necessary support and checks and balances while allowing an appropriate level of autonomy for the Individual to be proactive and fulfil their role without any unnecessary restrictions, coordination and/or collaboration mechanisms between departments/units or with other individuals allow for and encourage collaborative work where necessary.

Potential capacity development interventions, to improve the organisation structure include:

● reorganising staff into new configurations of departments or units or teams;

● changing or clarifying mandates of specific departments/units or individuals within the organisation;

● changing reporting and/or management relationships; and

● changing coordination and collaboration mechanisms.

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C.6.2 Organisation Procedures refers to the formally agreed organisational rules, policies, protocols and other mechanisms that determine or influence the way in which the Individual operates and cooperates, which may influence the capacity of the Individual to achieve the desired objective. e.g. planning and reporting processes, financial management procedures.

The optimal organisation procedures are in place when:

● all existing rules, policies, protocols and other mechanisms support, or at least do not constrain, the efficient and effective operation of the Individual; and

● all rules, policies, protocols and other mechanisms, necessary for the efficient and effective operation of the Individual, have been established and agreed by the organisation.

Potential capacity development interventions, to improve the organisation procedures include:

● reviewing and, where necessary, changing or discarding existing rules, policies, protocols and other mechanisms to better support, or remove constraints to, the efficient and effective operation of the Individual;

● identifying and removing barriers to the recognition and adherence to existing rules, policies, protocols and other mechanisms, where those rules, policies, protocols and other mechanisms support the efficient and effective operation of the Individual; and

● introducing new rules, policies, protocols and other mechanisms, where gaps are identified, to better support the efficient and effective operation of the Individual.

C.7 Knowledge and Methodology Base

C7.1 Knowledge Base refers to the body of existing knowledge that can be drawn upon or utilized by the Individual, which is necessary for the Individual to achieve the desired objective, e.g. knowledge of natural and social systems and processes.

The optimal situation regarding the knowledge base exists when:

● the current body of knowledge is sufficient for and in no way constrains the ability of the Individual to achieve the desired objective, i.e. there are no relevant gaps in the knowledge base.

Potential capacity development interventions, to address the knowledge base include:

● commissioning or conducting research or analysis to strengthen the knowledge base in necessary areas.

C7.2 Methodology Base refers to the body of existing methodology that can be drawn upon or utilized by the Individual, which is necessary for the Individual to achieve the desired objective, e.g. planning techniques or environmental valuation methods.

The optimal situation regarding the methodology base exists when:

● the current body of methodology is sufficient for and in no way constrains the ability of the Individual to achieve the desired objective, i.e. there are no relevant gaps in the methodology base.

Potential capacity development interventions, to address the methodology base include:

● commissioning or conducting work to strengthen the methodology base in necessary areas.

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4.3 CAPACITY ELEMENT DEFINITIONS AND DEVELOPMENT OPTIONS FOR THE ORGANISATION SCALE

A. Competencies/Internal Attributes refers to characteristics of the Organisation itself that can be strengthened or transformed to increase capacity to achieve the desired objective.

A.1 Knowledge and Awareness

A.1 Knowledge and Awareness refers to the whole range of collective knowledge and awareness within the Organisation that is relevant to its ability to achieve the desired objective, e.g. understanding of biodiversity or ecosystem processes.

The optimal situation regarding Organisation knowledge and awareness is in place when:

● the collective knowledge and awareness within the Organisation is sufficient in order for the Organisation to plan, implement and evaluate any task necessary for it to achieve the desired objective, i.e. there are no gaps in the Organisation’s knowledge and awareness.

Potential capacity development interventions, to improve Organisation knowledge and awareness include:

● training or awareness raising activities for members of the Organisation to increase the Organisation’s knowledge and awareness in relevant areas.

A.2 Skills

A.2 Skills refers to the whole range of collective skills that the Organisation has that are relevant to its ability to achieve the desired objective, e.g. ecological modelling or stakeholder analysis.

The optimal situation regarding Organisation skills is in place when:

● the collective skills within the Organisation are sufficient for the Organisation to plan, implement and evaluate any task necessary for it to achieve the desired objective, i.e. there are no gaps in the Organisation’s skill set.

Potential capacity development interventions, to improve Organisation skills include:

● training for members of the Organisation to increase the Organisation’s level of skill in relevant areas.

A.3 Attitudes and Values

A.3 Attitudes and Values refers to the dominant collective attitudes and values held by the Organisation that either supports or constrains the Organisation’s ability to achieve the desired objective, e.g. confidence, problem-solving, honesty, work ethic, respect for the environment etc.

The optimal situation regarding Organisation attitudes and values is in place when:

● the Organisation’s attitudes and values support, or at least do not constrain, its ability to plan, implement and evaluate any task necessary for it to achieve the desired objective.

Potential capacity development interventions, to change Organisation attitudes and values include:

● training or awareness raising activities for members of the Organisation to change the Organisation’s attitudes and values in relevant areas; and

● introduction of incentives or disincentives to encourage different Organisation attitudes and values in relevant areas.

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A.4 Goals

A.4 Goals refers to the dominant collective goals of the Organisation that influence the way in which the Organisation approaches the task of achieving the desired objective, e.g. profit versus non-profit, vision and mission.

The optimal situation regarding Organisation goals is in place when:

● the Organisation’s goals are fully aligned with, or at least do not conflict with, the desired objective.

Potential capacity development interventions, to change Organisation goals include:

● training or awareness raising activities for members of the Organisation to change the Organisation’s goals in relevant areas;

● strategic planning processes to revise Organisational goals and priorities; and

● introduction of incentives or disincentives to encourage different Organisation goals in relevant areas.

A.5 Internal Structure and Procedures

A.5.1 Internal Structure refers to the component parts of the Organisation, i.e. the key departments or units and individual roles that form the Organisation, and the way in which these departments/units and individual roles are organised in terms of their staff allocations, respective mandates and the reporting or management hierarchies, including any structures such as committees etc., which may influence the capacity of the Organisation to achieve the desired objective.

The optimal Organisation internal structure is in place when:

● all the necessary departments/units and individual roles exist, i.e. there is no need to create a new department/unit or individual role to fill a gap;

● all departments/units have the required staff numbers necessary to fulfil their role within the Organisation;

● each department/unit or key individual has a clear mandate to fulfil a role within the Organisation and there is no confusion, duplication or overlap between these mandates;

● all reporting and management relationships provide the necessary support and checks and balances while allowing an appropriate level of autonomy for each department/unit or individual role to be proactive and fulfil its role without any unnecessary restrictions; and

● coordination and/or collaboration mechanisms between departments/units and/or individuals allow for and encourage collaborative work.

Potential capacity development interventions, to improve the internal structure of the Organisation include:

● creating new departments/units, including the possibility of merging existing departments/units, with a new mandate, to fill a currently unoccupied but important niche (the reverse action, i.e. closing down departments/units may also apply);

● creating new individual positions/roles, with a new mandate, to fill a currently unoccupied but important niche (the reverse action, i.e. removing individual positions or roles may also apply);

● clarifying and revising, as necessary, departmental/unit and individual mandates or terms of reference;

● changing reporting or management relationships; and

● changing/removing existing or creating new coordination and/or collaboration mechanisms.

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A.5.2 Internal Procedures refers to the formally agreed internal organisation-level rules, policies, protocols and other mechanisms which influence internal Organisation operation and cooperation and may determine the capacity of the Organisation to achieve the desired objective, e.g. planning and reporting processes, financial management procedures.

The optimal Organisation internal procedures are in place when:

● all existing rules, policies, protocols and other mechanisms are recognized and adhered to;

● all existing rules, policies, protocols and other mechanisms support, or at least do not constrain, the efficient and effective operation of the Organisation; and

● all rules, policies, protocols and other mechanisms, necessary for the efficient and effective operation of the Organisation, have been established and agreed by all members of the Organisation.

Potential capacity development interventions, to improve the Organisation internal procedures include:

● reviewing and, where necessary, changing or discarding existing rules, policies, protocols and other mechanisms to better support, or remove constraints to, the efficient and effective operation of the Organisation;

● identifying and removing barriers to the recognition and adherence to existing rules, policies, protocols and other mechanisms, where those rules, policies, protocols and other mechanisms support the efficient and effective operation of the Organisation; and

● introducing new rules, policies, protocols and other mechanisms, where gaps are identified, to better support the efficient and effective operation of the Organisation.

B. Resources refers to materials, services or other assets that can be supplied to and/or accumulated by the Organisation to increase capacity to achieve the desired objective.

B.1 Data and Information

B.1 Data and Information refers to data and information that are/is necessary for the Organisation to achieve the desired objective, e.g. spatial datasets, species lists and environmental statistics. Data and information assets may exist or be held within or outside of the Organisation.

The optimal situation regarding data and information exists when:

● all the data and information that are/is necessary for the Organisation to achieve the desired objective exists in the required format, either within or outside of the Organisation; and

● the Organisation has full access, as and when needed, to any data and information that are/is necessary to achieve the desired objective.

Potential capacity development interventions, to generate and/or improve access to data and information include:

● identifying ‘unknown’ sources of required data and information;

● conducting or commissioning research and/or analyses or syntheses of existing data to generate the required data and information;

● developing and disseminating tools that provide access to required data and information;

● training members of the Organisation to generate or access required data and information;

● removing current barriers to accessing sources of data and information; and

● ensuring sustainability of access to required data and information through the development of effective data management systems.

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B.2 Finance

B.2 Finance refers to financial resources that are necessary for the Organisation to achieve the desired objective, e.g. to purchase other resources or to pay operational costs. Financial resources may exist or be held within or outside of the Organisation.

The optimal situation regarding finance exists when:

● sufficient financial resources are available, either within or outside of the Organisation; and

● the Organisation has full access, as and when needed, to sufficient financial resources that are necessary for or contribute to its ability to achieve the desired objective.

Potential capacity development interventions to generate and improve access to financial resources include:

● lobbying/advocating for increased financial resources to be allocated to the Organisation or in support of the desired objective;

● acquiring financial assistance for the Organisation through fundraising and/or through budget allocation;

● training members of the Organisation to better access existing sources of financing;

● developing revenue generation mechanisms for the Organisation; and

● reviewing and redirecting financial allocations and flows within the Organisation.

B.3 Tools/Technology

B.3.1 Equipment refers to equipment that is necessary for the Organisation to achieve the desired objective, e.g. computers and GPS units. Equipment may be held or exist within or outside of the Organisation.

The optimal situation regarding equipment exists when:

● all necessary equipment has been developed and is available, either within or outside of the Organisation, i.e. there is no need for the development of any new technology to fill a gap; and

● the Organisation has full access, as and when needed, to sufficient equipment that is necessary to achieve the desired objective.

Potential capacity development interventions, to generate and improve the access to equipment include:

● providing equipment (or the financing for the equipment) that the Organisation needs;

● training members of the Organisation to better access existing equipment;

● developing new forms of technology to fill a current gap in equipment needs;

● coordinating alliances and strengthening networking or partnerships to allow technology transfer; and

● reviewing and redirecting financial allocations and flows within the Organisation to ensure sufficient financing for equipment needs.

B.3.2 Software refers to software that is necessary for the Organisation to achieve the desired objective, e.g. ecological modelling software or project planning software. Software may be held or exist within or outside of the Organisation.

The optimal situation regarding software exists when:

● all necessary software has been developed and is available, either within or outside of the Organisation, i.e. there is no need for the development of any new software to fill a gap; and

● the Organisation has full access, as and when needed, to software that is necessary to achieve the desired objective.

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Potential capacity development interventions, to generate and improve the access to software include:

● providing software or software licences (or the financing for the software) that the Organisation needs;

● training members of the Organisation to better access existing software;

● developing new forms of software to fill a current gap in software needs;

● coordinating alliances and strengthening networking or partnerships to allow technology transfer; and

● reviewing and redirecting financial allocations and flows within the Organisation to ensure sufficient financing for software needs.

B.4 Partners

B.4 Partners refers to other individuals or organisations whose capacity to perform a specific complementary function, provide technical advice or facilitate access to other resources, for a fee or otherwise, is necessary for the Organisation to achieve the desired objective, e.g. a technical specialist or a donor. By definition, partners exist outside of the Organisation being assessed.

The optimal situation regarding partners exists when:

● potential partners with the necessary expertise, resources and contacts exist; and

● the Organisation has relationships with and full access to the services of all necessary partners, as and when needed, to support the Organisation in achieving the desired objective.

Potential capacity development interventions, to improve access to partners include:

● identifying and creating connections with new potential partners as per the needs of the Organisation;

● training members of the Organisation to source partners and build and maintain strong partnerships;

● coordinating alliances and agreements and strengthening networks to enhance access to partners;

● providing financing to ensure the Organisation’s access to partner services; and

● reviewing and redirecting financial allocations and flows within the Organisation to ensure sufficient financing for partner services.

B.5 Infrastructure

B.5 Infrastructure refers to the physical structures and services that are necessary for the Organisation to achieve the desired objective, e.g. buildings, power supply, transport and communication networks. Both internal and external infrastructure may be important.

The optimal situation regarding infrastructure exists when:

● the Organisation has access to suitable working environments, with stable power supplies and secure and sufficient communication networks, as necessary for it operate effectively; and

● the Organisation has access to safe and efficient transport networks, as necessary for it to operate effectively.

Potential capacity development interventions, to generate and improve access to infrastructure include:

● providing or removing barriers to access to existing infrastructure (or the financing required to gain access) that the Organisation needs; and

● developing new infrastructure to meet the needs of the Organisation.

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C. Enabling Environment refers to external factors that support or constrain the capacity of the Organisation and which can be influenced in order to increase capacity to achieve the desired objective. What is external to the Organisation is determined by the limits of the Organisation, i.e. which individuals are part of the Organisation and which are not.

C.1 Authority and Credibility

C.1.1 Authority refers to any formal or informal mandate, bestowed by an external entity, establishing the power or right to give and enforce orders, commit resources, and make recommendations or decisions, which is necessary for the Organisation to achieve the desired objective, e.g. national, regional or global policy (depending on the scale at which the Organisation is defined).

The optimal situation regarding the Organisation’s authority exists when:

● the Organisation has all necessary authority to give and enforce orders, commit resources, and make recommendations or decisions, which is necessary to achieve the desired objective; and

● all external entities with which the Organisation interacts in performing tasks related to achieving the desired objective recognise and respect the Organisation’s authority to perform these tasks and, where applicable, respond to orders or requests accordingly.

Potential capacity development interventions, to strengthen the authority of the Organisation include:

● identifying gaps in necessary authority and consultation and advocacy with relevant external entities to ensure all relevant authority is bestowed upon the Organisation, including where necessary establishing formal mandates, policies etc.; and

● outreach and/or awareness raising with relevant audiences to clarify the authority bestowed upon the Organisation, including where necessary the justification for that authority.

C.1.2 Credibility refers to the perceptions and opinions held by external entities, regarding the Organisation’s capacity and legitimacy, which influence the Organisation’s capacity to achieve the desired objective, e.g. perceptions of trust or opinions on the quality of outputs.

The optimal situation regarding the Organisation’s credibility exists when:

● all external entities with which the Organisation interacts in performing tasks related to achieving the desired objective recognise and respect the Organisation’s capacity to perform these tasks; and

● all external entities with which the Organisation interacts in performing tasks related to achieving the desired objective recognise and respect the Organisation’s legitimacy in performing these tasks.

Potential capacity development interventions, to strengthen the credibility of the Organisation include:

● outreach and awareness raising with targeted external audiences to demonstrate the capacity and legitimacy of the Organisation to perform the tasks necessary for achieving the desired objective.

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C.2 Incentives

C.2 Incentives refers to both negative and positive incentives (potential costs or benefits), applied to the Organisation by any external entity, that enhance or reduce the likelihood that the Organisation will apply itself to achieving the desired objective, e.g. sanctions, peer pressure or financial rewards.

The optimal situation regarding the Organisation’s incentives exists when:

● all possible (realistic) and necessary positive incentives are in place, which encourage the Organisation to apply its full capacity towards achieving the desired objective; and

● no disincentives are in place, which discourage the Organisation from applying its full capacity towards achieving the desired objective.

Potential capacity development interventions, to change the incentives of the Organisation include:

● introducing positive incentives that encourage the Organisation to apply its full capacity to achieving the desired objective; and

● removing disincentives that discourage the Organisation from applying its full capacity to achieving the desired objective.

C.3 Cultural Norms

C.3 Cultural Norms refers to the dominant shared perspectives and norms of behaviour adhered to in the wider social environment within which the Organisation operates, which influence the way the Organisation operates and, therefore, its ability to achieve the desired objective, e.g. national norms relating to top-down hierarchical processes, work ethics, or ethnic/national stereotyping.

The optimal situation regarding cultural norms exists when:

● the dominant and shared perspectives and norms of behaviour adhered to by the wider social environment within which the Organisation operates enhance, or at least do not constrain, the efficiency and effectiveness of the Organisation in terms of its ability to achieve the desired objective.

Potential capacity development interventions, to address cultural norms include:

● outreach and awareness raising, with targeted external audiences, to try and change external cultural norms that constrain the capacity of the Organisation to operate effectively and achieve the desired objective.

C.4 Legal and Policy Framework

C.4 Legal and Policy Framework refers to any local, national, regional or global legislation, regulations, policies, plans and strategies that are agreed and implemented and impact on the ability of the Organisation to achieve the desired objective, e.g. laws concerning open sea and trans-boundary issues or regional environmental policy.

The optimal situation regarding the legal and policy framework exists when:

● all relevant local, national, regional and global legislation, regulations, policies, plans and strategies enhance, or at least do not constrain, the efficiency and effectiveness of the Organisation in terms of its ability to achieve the desired objective.

Potential capacity development interventions, to address the legal and policy framework include:

● review and revision of any relevant legislation, regulations, policies, plans and strategies to enhance or remove constraints upon the capacity of the Organisation to operate effectively and achieve the desired objective.

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C.5 External Demands

C.5 External Demands refers to the number and scale of competing demands placed on the Organisation by external entities, which influences the Organisation’s allocation of its existing capacity to achieving the desired objective.

The optimal situation regarding the Organisation’s external demands exists when:

● the number and scale of competing demands placed on the Organisation is commensurate with the Organisation’s capacity to fully meet all such demands to the required standard and within the required timeframe; or

● the achievement of the desired objective is the number one priority of the Organisation and all necessary Organisation capacity is allocated to achieving the desired objective regardless of the number and scale of other competing demands on the Organisation’s capacity.

Potential capacity development interventions, to address the Organisation’s external demands include:

● reducing or rescheduling the number and/or scale of competing demands placed upon the Organisation, so that it is able to allocate the necessary capacity to achieving the desired objective.

C.6 External Structure and Procedures

C.6.1 External Structure refers to the component parts of the wider sector or network that the Organisation is part of, i.e. the key organisations and individual roles that form the sector/network, and the way in which these organisations and individual roles are organised in terms of their respective mandates and the reporting or management hierarchies, including any structures such as committees etc., which may influence the capacity of the Organisation to achieve the desired objective.

The optimal external structure is in place when:

● the structure of the sector or network of which the Organisation is a part, enhances, or at least does not constrain, the ability of the Organisation to perform the tasks required to achieve the desired objective, e.g. the Organisation’s mandates is clear and not overlapping or conflicting with other organisations, reporting and management relationships provide the necessary support and checks and balances while allowing an appropriate level of autonomy for the Organisation to be proactive and fulfil its role without any unnecessary restrictions, coordination and/or collaboration mechanisms with other organisations and/or individuals allow for and encourage collaborative work where necessary.

Potential capacity development interventions, to improve the external structure include:

● changing or clarifying mandates of specific organisations within the sector/network;

● changing reporting and/or management relationships; and

● changing coordination and collaboration mechanisms.

C.6.2 External Procedures refers to the formally agreed internal sector or network-level rules, policies, protocols and other mechanisms that determine or influence the way in which the Organisation operates and cooperates, which may influence the capacity of the Organisation to achieve the desired objective. e.g. data sharing protocols.

The optimal external procedures are in place when:

● all existing rules, policies, protocols and other mechanisms support, or at least do not constrain, the efficient and effective operation of the Organisation; and

● all rules, policies, protocols and other mechanisms, necessary for the efficient and effective operation of the Organisation, have been established and agreed by all members of the sector or network.

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Potential capacity development interventions, to improve the external procedures include:

● reviewing and, where necessary, changing or discarding existing rules, policies, protocols and other mechanisms to better support, or remove constraints to, the efficient and effective operation of the Organisation;

● identifying and removing barriers to the recognition and adherence to existing rules, policies, protocols and other mechanisms, where those rules, policies, protocols and other mechanisms support the efficient and effective operation of the Organisation; and

● introducing new rules, policies, protocols and other mechanisms, where gaps are identified, to better support the efficient and effective operation of the Organisation.

C.7 Knowledge and Methodology Base

C7.1 Knowledge Base refers to the body of existing knowledge that can be drawn upon or utilized by the Organisation and which is necessary for the Organisation to achieve the desired objective, e.g. knowledge of natural and social systems and processes.

The optimal situation regarding the knowledge base exists when:

● the current body of knowledge is sufficient for and in no way constrains the ability of the Organisation to achieve the desired objective, i.e. there are no relevant gaps in the knowledge base.

Potential capacity development interventions, to address the knowledge base include:

● commissioning or conducting research or analysis to strengthen the knowledge base in necessary areas.

C7.2 Methodology Base refers to the body of existing methodology that can be drawn upon or utilized by the Organisation and which is necessary for the Organisation to achieve the desired objective, e.g. planning techniques or environmental valuation methods.

The optimal situation regarding the methodology base exists when:

● the current body of methodology is sufficient for and in no way constrains the ability of the Organisation to achieve the desired objective, i.e. there are no relevant gaps in the methodology base.

Potential capacity development interventions, to address the methodology base include:

● commissioning or conducting work to strengthen the methodology base in necessary areas.

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4.4 CAPACITY ELEMENT DEFINITIONS AND DEVELOPMENT OPTIONS FOR THE NETWORK SCALE

A. Internal Attributes refers to characteristics of the Network itself that can be strengthened or transformed to increase capacity to achieve the desired objective.

A.1 Structure and Procedures

A.1.1 Structure refers to the component parts of the Network, i.e. the key organisations and individual roles that form the Network, and the way in which these organisations and individual roles are organised in terms of their respective mandates and the reporting or management hierarchies, including any network-level structures such as committees etc., which may influence the capacity of the Network to achieve the desired objective.

The optimal Network structure is in place when:

● all the necessary organisations and individual roles exist, i.e. there is no need to create a new organization or individual role to fill a gap;

● each organization or key individual has a clear mandate to fulfil their role within the Network and there is no confusion, duplication or overlap between these mandates;

● all reporting and management relationships provide the necessary support and checks and balances while allowing an appropriate level of autonomy for each organization or individual role to be proactive and fulfil its role without any unnecessary restrictions; and

● coordination and/or collaboration mechanisms between organizations and/or individuals allow for and encourage collaborative work.

Potential capacity development interventions, to improve the structure of the Network include:

● creating new organisations, including the possibility of merging existing organisations, with a new mandate, to fill a currently unoccupied but important niche (the reverse action, i.e. closing down organisations may also apply);

● creating new individual positions/roles, with a new mandate, to fill a currently unoccupied but important niche (the reverse action, i.e. removing individual positions or roles may also apply);

● clarifying and revising, as necessary, organisational and individual mandates or terms of reference;

● changing reporting or management relationships; and

● changing/removing existing or creating new coordination and/or collaboration mechanisms.

A.1.2 Procedures refers to the formally agreed internal network-level rules, policies, protocols and other mechanisms which influence internal Network operation and cooperation and may determine the capacity of the Network to achieve the desired objective, e.g. data sharing protocols.

The optimal Network procedures are in place when:

● all existing rules, policies, protocols and other mechanisms are recognized and adhered to:

● all existing rules, policies, protocols and other mechanisms support, or at least do not constrain, the efficient and effective operation of the Network; and

● all rules, policies, protocols and other mechanisms, necessary for the efficient and effective operation of the network, have been established and agreed by all members of the Network.

Potential capacity development interventions, to improve the Network procedures include:

● reviewing and, where necessary, changing or discarding existing rules, policies, protocols and other mechanisms to better support, or remove constraints to, the efficient and effective operation of the Network;

● identifying and removing barriers to the recognition and adherence to existing rules, policies, protocols and other mechanisms, where those rules, policies, protocols and other mechanisms support the efficient and effective operation of the Network; and

● introducing new rules, policies, protocols and other mechanisms, where gaps are identified, to better support the efficient and effective operation of the Network.

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A.2 Organisation Capacity

A.2 Organisation Capacity refers to the typical capacity of all organisations to fulfil their existing or potential roles within the Network, which determines the capacity of the Network to achieve the desired objective.

The optimal Network organisation capacity exists when:

● each and every organisation within the Network has the necessary capacity to fulfil its role in contributing to the achievement of the desired objective.

Potential capacity development interventions, to improve Network organisation capacity include:

● interventions to enhance the competency of one or more organisations within the Network (see Organisation Scale Competency Component definitions and guidelines for more detail);

● interventions to enhance access to resources for one or more organisations within the Network (see Organisation Scale Resources Component definitions and guidelines for more detail); and

● interventions to address elements of the enabling environment for one or more organisations within the Network (see Organisation Scale Enabling Environment Component definitions and guidelines for more detail).

A.3 Individual Capacity

A.3 Individual Capacity refers to the typical capacity of individuals, operating within and outside of organisations, to fulfil their existing or potential roles within the Network, which determines the capacity of the Network to achieve the desired objective.

The optimal Network individual capacity exists when:

● each and every individual within the Network has the necessary capacity to fulfil their role in contributing to the achievement of the desired objective.

Potential capacity development interventions, to improve Network individual capacity include:

● interventions to enhance the competency of one or more individuals within the Network (see Individual Scale Competency Component definitions and guidelines for more detail);

● interventions to enhance access to resources for one or more individuals within the Network (see Individual Scale Resources Component definitions and guidelines for more detail); and

● interventions to address elements of the enabling environment for one or more individuals within the Network (see Organisation Scale Enabling Environment Component definitions and guidelines for more detail).

A.4 Internal Cultural Norms

A.4 Internal Cultural Norms refers to the dominant shared perspectives and norms of behaviour, adhered to by individuals and organisations within the Network, which influence the way the Network as a whole operates and, therefore, its ability to achieve the desired objective, e.g. perspectives on the values of nature or behavioural norms relating to gender roles.

The optimal Network internal cultural norms exists when:

● the dominant and shared perspectives and norms of behaviour enhance, or at least do not constrain, the efficiency and effectiveness of the Network in terms of its ability to achieve the desired objective.

Potential capacity development interventions, to improve the Network’s internal cultural norms include:

● awareness raising or training activities to change specific perspectives and/or behavioural norms; and

● introduction of incentives or disincentives to encourage or discourage specific perspectives and/or behavioural norms.

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A.5 Goals

A.5 Goals refers to the dominant and shared objectives that define the collective priorities of the Network, regardless of whether these are expressed as formally agreed policies, strategies or plans, which influence the capacity of the Network to achieve the desired objective, e.g. the extent to which the Network overall is committed to a sustainable development path versus a strategy for short-term growth at all costs.

The optimal situation regarding Network goals exists when:

● the Network priorities are fully aligned with, or at least do not conflict with, the achievement of the desired objective.

Potential capacity development interventions, to improve the situation regarding Network goals include:

● awareness raising or training activities to change Network priorities;

● strategic planning processes to revise Network priorities; and

● introduction of incentives or disincentives to encourage or discourage a focus on specific objectives.

B. Resources refers to materials, services or other assets that can be supplied to and/or accumulated by the Network to increase capacity to achieve the desired objective.

B.1 Data and Information

B.1 Data and Information refers to data and information that are/is necessary for the Network to achieve the desired objective, e.g. spatial datasets, species lists and environmental statistics. Data and information assets may exist or be held within or outside of the Network.

The optimal situation regarding data and information exists when:

● all the data and information that are/is necessary for the Network to achieve the desired objective exists in the required format, either within or outside of the Network; and

● all the members of the Network have full access, as and when needed, to any data and information that are/is necessary for the Network to achieve the desired objective.

Potential capacity development interventions, to generate and/or improve access to data and information include:

● identifying ‘unknown’ sources of required data and information;

● conducting or commissioning research and/or analyses or syntheses of existing data to generate the required data and information;

● developing and disseminating tools that provide access to required data and information;

● training members of the Network to generate or access required data and information;

● removing current barriers to accessing sources of data and information; and

● ensuring sustainability of access to required data and information through the development of effective data management systems.

B.2 Finance

B.2 Finance refers to financial resources that are necessary for the Network to achieve the desired objective, e.g. to purchase other resources or to pay operational costs. Financial resources may exist or be held within or outside of the Network.

The optimal situation regarding finance exists when:

● sufficient financial resources are available, either within or outside of the Network; and

● all the members of the Network have full access, as and when needed, to sufficient financial resources that are necessary to achieve the desired objective.

Potential capacity development interventions to generate and improve access to financial resources include:

● lobbying/advocating for increased financial resources to be allocated to the Network or in support of the desired objective;

● acquiring financial assistance for the Network through fundraising and/or through budget allocation;

● training members of the Network to better access existing sources of financing;

● developing revenue generation mechanisms for the Network or individual members of the Network; and

● reviewing and redirecting financial allocations and flows within the Network.

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B.3 Tools/Technology

B.3.1 Equipment refers to equipment that is necessary for the Network to achieve the desired objective, e.g. computers and GPS units. Equipment may be held or exist within or outside of the Network.

The optimal situation regarding equipment exists when:

● all necessary equipment has been developed and is available, either within or outside of the Network, i.e. there is no need for the development of any new technology to fill a gap; and

● all the members of the Network have full access, as and when needed, to sufficient equipment that is necessary to achieve the desired objective.

Potential capacity development interventions, to generate and improve the access to equipment include:

● providing equipment (or the financing for the equipment) that the Network needs;

● training members of the Network to better access existing equipment;

● developing new forms of technology to fill a current gap in equipment needs;

● coordinating alliances and strengthening networking or partnerships to allow technology transfer; and

● reviewing and redirecting financial allocations and flows within the Network to ensure sufficient financing for equipment needs.

B.3.2 Software refers to software that is necessary for the Network to achieve the desired objective, e.g. ecological modelling software or project planning software. Software may be held or exist within or outside of the Network.

The optimal situation regarding software exists when:

● all necessary software has been developed and is available, either within or outside of the Network, i.e. there is no need for the development of any new software to fill a gap; and

● all the members of the Network have full access, as and when needed, to software that is necessary for achieving the desired objective.

Potential capacity development interventions, to generate and improve the access to software include:

● providing software or software licences (or the financing for the software) that the Network needs;

● training members of the Network to better access existing software;

● developing new forms of software to fill a current gap in software needs;

● coordinating alliances and strengthening networking or partnerships to allow technology transfer; and

● reviewing and redirecting financial allocations and flows within the Network to ensure sufficient financing for software needs.

B.4 Partners

B.4 Partners refers to other individuals, organisations or networks whose capacity to perform a specific complementary function, provide technical advice or facilitate access to other resources, for a fee or otherwise, is necessary for the Network to achieve the desired objective, e.g. a technical specialist or a donor. By definition, partners exist outside of the Network being assessed.

The optimal situation regarding partners exists when:

● potential partners with the necessary expertise, resources and contacts exist; and

● the Network has relationships with and full access to the services of all necessary partners, as and when needed, to support the Network in achieving the desired objective.

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Potential capacity development interventions, to improve access to partners include:

● identifying and creating connections with new potential partners as per the needs of the Network;

● training members of the Network to source partners and build and maintain strong partnerships;

● coordinating alliances and agreements and strengthening networks to enhance access to partners;

● providing financing to ensure Network access to partner services; and

● reviewing and redirecting financial allocations and flows within the Network to ensure sufficient financing for partner services.

B.5 Infrastructure

B.5 Infrastructure refers to the physical structures and services that are necessary for the Network to achieve the desired objective, e.g. buildings, power supply, transport and communication networks. Both internal and external infrastructure may be important.

The optimal situation regarding infrastructure exists when:

● all members of the Network have access to suitable working environments, with stable power supplies and secure and sufficient communication networks, as necessary for them to fulfil their role within the Network and operate as a network to achieve the desired objective; and

● all members of the Network have access to safe and efficient transport networks, as necessary for them to fulfil their role within the Network and operate as a network to achieve the desired objective.

Potential capacity development interventions, to generate and improve access to infrastructure include:

● providing or removing barriers to access to existing infrastructure (or the financing required to gain access) that the Network needs; and

● developing new infrastructure to meet the needs of the Network.

C. Enabling Environment refers to external factors that support or constrain the capacity of the Network and which can be influenced in order to increase capacity to achieve the desired objective. What is external to the Network is determined by the limits of the Network, i.e. which individuals and organisations are part of the Network and which are not.

C.1 Authority and Credibility

C.1.1 Authority refers to any formal or informal mandate, bestowed by an external entity, establishing the power or right to give and enforce orders, commit resources, and make recommendations or decisions, which is necessary for the Network to achieve the desired objective, e.g. national, regional or global policy (depending on the scale at which the Network is defined).

The optimal situation regarding the Network’s authority exists when:

● all members of the Network have all necessary authority to give and enforce orders, commit resources, and make recommendations or decisions, which is necessary for the Network to achieve the desired objective; and

● all external entities with which the Network interacts in performing tasks related to achieving the desired objective recognise and respect the Network’s authority to perform these tasks and, where applicable, respond to orders or requests accordingly.

Potential capacity development interventions, to strengthen the authority of the Network include:

● identifying gaps in necessary authority and consultation and advocacy with relevant external entities to ensure all relevant authority is bestowed upon the Network, including where necessary establishing formal mandates, policies etc.; and

● outreach and/or awareness raising with relevant audiences to clarify the authority bestowed upon the Network, including where necessary the justification for that authority.

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C.1.2 Credibility refers to the perceptions and opinions held by external entities, regarding the Network’s capacity and legitimacy, which influence the Network’s capacity to achieve the desired objective, e.g. perceptions of trust or opinions on the quality of outputs.

The optimal situation regarding the Network’s credibility exists when:

● all external entities with which the Network interacts in performing tasks related to achieving the desired objective recognise and respect the Network’s capacity to perform these tasks; and

● all external entities with which the Network interacts in performing tasks related to achieving the desired objective recognise and respect the Network’s legitimacy in performing these tasks.

Potential capacity development interventions, to strengthen the credibility of the Network include:

● outreach and awareness raising with targeted external audiences to demonstrate the capacity and legitimacy of the Network to perform the tasks necessary for achieving the desired objective.

C.2 Incentives

C.2 Incentives refers to both negative and positive incentives (potential costs or benefits), applied to the Network by any external entity, that enhance or reduce the likelihood that the Network will apply itself to achieving the desired objective, e.g. sanctions, peer pressure or financial rewards.

The optimal situation regarding the Network’s incentives exists when:

● all possible (realistic) and necessary positive incentives are in place, which encourage the Network to apply its full capacity towards achieving the desired objective; and

● no disincentives are in place, which discourage the Network from applying its full capacity towards achieving the desired objective.

Potential capacity development interventions, to change the incentives of the Network include:

● introducing positive incentives that encourage the Network to apply its full capacity to achieving the desired objective; and

● removing disincentives that discourage the Network from applying its full capacity to achieving the desired objective.

C.3 External Cultural Norms

C.3 External Cultural Norms refers to the dominant shared perspectives and norms of behaviour adhered to in the wider social environment within which the Network operates, which influence the way the Network as a whole operates and, therefore, its ability to achieve the desired objective, e.g. national norms relating to top-down hierarchical processes, work ethics, or ethnic/national stereotyping.

The optimal situation regarding external cultural norms exists when:

● the dominant and shared perspectives and norms of behaviour adhered to by the wider social environment within which the Network operates enhance, or at least do not constrain, the efficiency and effectiveness of the Network in terms of its ability to achieve the desired objective.

Potential capacity development interventions, to address external cultural norms include:

● outreach and awareness raising, with targeted external audiences, to try and change external cultural norms that constrain the capacity of the Network to operate effectively and achieve the desired objective.

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C.4 Legal and Policy Framework

C.4 Legal and Policy Framework refers to any local, national, regional or global legislation, regulations, policies, plans and strategies that are agreed and implemented and impact on the ability of the Network to achieve the desired objective, e.g. laws concerning open sea and trans-boundary issues or regional environmental policy.

The optimal situation regarding the legal and policy framework exists when:

● all relevant local, national, regional and global legislation, regulations, policies, plans and strategies enhance, or at least do not constrain, the efficiency and effectiveness of the Network in terms of its ability to achieve the desired objective.

Potential capacity development interventions, to address the legal and policy framework include:

● review and revision of any relevant legislation, regulations, policies, plans and strategies to enhance or remove constraints upon the capacity of the Network to operate effectively and achieve the desired objective.

C.5 External Demands

C.5 External Demands refers to the number and scale of competing demands placed on the Network by external entities, which influences the Network’s allocation of its existing capacity to achieving the desired objective.

The optimal situation regarding the Network’s external demands exists when:

● the number and scale of competing demands placed on the Network is commensurate with the Network’s capacity to fully meet all such demands to the required standard and within the required timeframe; or

● the achievement of the desired objective is the number one priority of the Network and all necessary Network capacity is allocated to achieving the desired objective regardless of the number and scale of other competing demands on the Network’s capacity.

Potential capacity development interventions, to address the Network’s external demands include:

● reducing or rescheduling the number and/or scale of competing demands placed upon the Network, so that it is able to allocate the necessary capacity to achieving the desired objective.

C.6 Knowledge and Methodology Base

C6.1 Knowledge Base refers to the body of existing knowledge that can be drawn upon or utilized by the Network and which is necessary for the Network to achieve the desired objective, e.g. knowledge of natural and social systems and processes.

The optimal situation regarding the knowledge base exists when:

● the current body of knowledge is sufficient for and in no way constrains the ability of the Network to achieve the desired objective, i.e. there are no relevant gaps in the knowledge base.

Potential capacity development interventions, to address the knowledge base include:

● commissioning or conducting research or analysis to strengthen the knowledge base in necessary areas.

C6.2 Methodology Base refers to the body of existing methodology that can be drawn upon or utilized by the Network and which is necessary for the Network to achieve the desired objective, e.g. planning techniques or environmental valuation methods.

The optimal situation regarding the methodology base exists when:

● the current body of methodology is sufficient for and in no way constrains the ability of the Network to achieve the desired objective, i.e. there are no relevant gaps in the methodology base.

Potential capacity development interventions, to address the methodology base include:

● commissioning or conducting work to strengthen the methodology base in necessary areas.

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