Capacity Assessment Methodology Tools Final Sept2010

MGR, OEKC, Sept.
2010
FAO Capacity Assessment Approach and Supporting Tools

Discussion Draft
Table of contents
1.Background.............................................................................................................2
2. Definition and scoping of FAO Capacity Assessment................................... . 2
3. Description of FAO’s approach to Capacity Assessments...............................5
4. The tools: FAO Capacity Assessment Matrix (FAO- CAM) and Checklists.......8
5. The Assessment Process (6 steps)............................................................. ........11
6. Selected resources........................................................................................ ..... 18
Job aid 1: Context analysis report tailored to food security....................... .......19
Job aid 2: Stakeholders’ mapping........................................................................ 20
Job aid 3: Kick- off presentation............................................................................ 21
Job aid 4: How to undertake a SWOT analysis.................................................... 24
Annex 1- Ultra-light checklist for NMTPF, UNDAF, UN Joint programmes.......... 26
Annex 1/a – Light checklist for each functional capacity area........................ 28
Annex 2- In-depth checklist tailored to food security issues ……………………..33
Annex 3- The FAO CAM Summary table: to be filled in for the final validation with national
stakeholders.................................................................................... 41
1
MGR, OEKC, Sept. 2010
1. BACKGROUND
Capacity1 Development (CD) is a process of learning and change that countries lead to
achieve their development goals. As this is a learning and change process, it requires a
medium to long-term time horizon involving strategic approaches to encourage and support
national ownership and leadership. It is therefore necessary to carry out participatory
capacity assessments to help put capacity development on the agenda and encourage
dialogue with national stakeholders in a structured way.
FAO’s CD Corporate Strategy-Agenda for Action calls for a series of measures which will lead
to the implementation of the new corporate approach consistently across the Organization.
Amongst these measures is the design of practical tools on CD for FAO staff.
The objective of this work is to support FAO staff to engage in a dialogue with national
stakeholders and specialists about issues related to capacity development, institutional
assessments as well as support in the design of CD interventions.
This paper outlines the principal features shaping FAO’s approach and tools to carry out
“light” or more “in-depth” capacity assessments. It attempts to operationalize the vision of
the new FAO Corporate Strategy on CD, i.e. enhancing capacities requires more than just
training, it demands informed action across three dimensions: enabling environment,
organizations, individuals; and it requires looking at technical as well as at functional
capacities, which will enable countries to lead their development processes.
This work is focusing on assessing functional capacities because such capacities are cross-
cutting and common in all technical areas and are the ones who can potentially increase
sustainability of FAO’s interventions at country/regional/global level. Thus, technical
departments- which are in the best position to do it- are invited to use and adapt it to their
needs.
2. DEFINITION AND SCOPING OF FAO CAPACITY ASSESSMENT (CA)

Capacity Assessment is the process of identifying and understanding the existing situation in
a country or a sector, identifying the CD assets and needs and planning a series of actions to
deal with such needs. There are generally a number of stages in the assessment process, but
the end result is always to have a clear picture of the situation and a plan of future
interventions.
Capacity assessments may meet some resistance from people and organizations being
assessed, unless ownership and involvement is built from the beginning.
In addition, the CA has to be conceived as a dynamic participatory process that is carried
out to a greater or lesser depth of analysis at different stages of intervention in a country.
1
The following definitions underpin the language used in this document:
“Capacity” is the ability of people, organisations and society as a whole to manage their affairs successfully.
“Capacity Development” is the “process whereby people, organizations and society as a whole unleash, strengthen, create,
adapt and maintain capacity over time” (OECD/DAC).
2
It is therefore very important to define the scope or focus of the CA. Some possible options
follow:
a) Light and ultra- light version of the assessment for country planning
The CA can look at the “broad picture” of what is necessary in order to strengthen capacities
in Agriculture and Rural Development (ARD) in a country and be linked to national planning
processes, poverty reduction strategies, to the UNDAF and to FAO NMTPF.
The ultra-light version can be particularly useful to FAORs, Senior Officers, Assistant FAORs
during the NMTPF formulation, the UNDAF process, the UN joint programming processes. It
helps having a structured discussion about capacity assets and needs with a strategic vision,
i.e. first looking at the enabling environment, then at institutional /organizational issues and
finally at individual needs.
The light version builds on the previous and allows deepening the discussion on the capacity
assets and needs in relation to the functional capacities, which are necessary in countries to
lead their change process.
b) In- depth assessment to design a CD strategy or programme
The CA can go more indepth in the analysis and concentrate on a sector or on a thematic
area for the preparation of a strategic intervention in a particular area. This is useful for
Policy Officers, Technical Officers, Field Programme Officers involved in programme design
and formulation and offers an adaptive platform where capacity assets and needs can be
analysed extensively.
c) Organizational assessment
The CA can look into the functions of a single organization or a network of ARD organizations
and their interactions with other bodies from the private sector and civil society and assess
whether the ARD functions they should implement are effective and efficient.
In all cases, the assessment approach/process will help in defining a baseline of existing
capacities for more conducive enabling environment, more effective programme
instruments, more systematic knowledge and information exchange, and fostered coalition
and networks2.
Tools for the assessment should be adjusted according to whether a lighter, or a more in-
depth and more focused approach is chosen, and according to resources and methods. More
time and resources may be necessary in order to cover a detailed sectoral or institutional
capacity assessment compared to covering a lighter CA for country planning. Deciding
between a lighter or a more in-depth approach for a CA will be contingent on resources and
time.
The assessment process per se is as important as the “product” of the assessment and
should be seen as a learning and relationship building experience.
2
An M&E Platform reflecting this approach is under development.
3
3. DESCRIPTION OF FAO’S APPROACH TO CAPACITY ASSESSMENTS

FAO’s approach to CA consists of a framework for dialogue with national counterparts in
order to assess the capacity assets and needs of a country in ARD across three key
dimensions: enabling environment, organizations and individuals.
The enabling environment dimension relates to the context and the legislative 3 and
regulatory4 environment in which organizations and individuals involved in agriculture and
food security operate.
The organizational dimension relates to the internal functioning of formal and informal,
public or private agencies, civil society organizations, and networks of organizations 5.
The individual dimension relates to the skills and knowledge of the people involved in ARD
and food security activities such as public servants and staff of ARD organizations,
distributors, producers, farmers, fishermen, herders, rural service providers, technicians,
traders, food inspectors etc.
It is a holistic approach, as it considers the country as a three-dimensional system needing
four functional capacities to successfully develop and pursue a specific development goal
(the image on the next page summarises the new FAO CD framework).
Normally, assessments are carried out within a technical or thematic context; hence the
functional capacities should be contextualized in technical areas, which are the ones
associated with the particular areas of professional expertise or knowledge relevant to the
ARD sector (e.g. fisheries, forestry, food safety, extension, education etc..).
The explanation of the functional capacities and of the capacity areas follows.
The functional capacities highlighted in the new FAO CD framework are:
1. The capacity to formulate and implement policies and legislation (Policy and Normative
Capacity);
2. The capacity to access, generate, manage and exchange relevant knowledge and to adapt
it to local systems (Knowledge Capacity);
3. The capacity to connect, to advocate and engage in networks, alliances and partnerships
with international and national actors (Partnership Capacity);
4. The capacity to manage and implement programmes from planning to monitoring and
evaluation (Implementation Capacity).
3
This refers to the complete body of legal texts including laws, regulations and standards.
4
This refers to the subsidiary legal instruments, normally used by Ministers and not by Parliament which
prescribe mandatory requirements and provide supplementary details that are left open in the main legislation.
5
For instance, central and decentralized government agencies and ministries, social protection services,
inspectorates, laboratories, national agricultural research systems, global and regional economic commissions,
enterprises, cooperatives, chambers of Agriculture, consumer groups, producer associations, community-based
organizations, NGOs, and formal and non-formal education and training institutes.
4
However, it is important to underline that not all four functional capacities or capacity
areas may be relevant for all types of capacity assessments. The appropriate dimension or
area of intervention should be selected according to the objectives and purpose of the
assessment.
Each dimension is analyzed through a number of areas which have been selected from the
global literature on capacity development and on organizational change 6 and that are
relevant to FAO’s work.
Below are the areas profiling each dimension:
The Enabling environment includes the analysis of the “big picture”, the political and
economic issues as well as the governance and power structures, specifically:
• Policy and legal framework
• Policy commitment and accountability framework
• Economic framework and national public budget allocations
• Governance and power structure
6
For references, see section on resource materials.
5
Organizations (Public/private including formal and informal organizations, CBOs, CSOs).

Capacity areas for organizations analyze how they work and highlight entry-points for
possible change; the focus is mainly about how to “get the job done”:
• Motivation (mission, culture, mandates, incentives)
• Strategic, organizational and management functions (strategic leadership, inter/intra
institutional linkages, programme management)
• Operational capacity (processes, systems, procedures, performance)
• Human and financial resources (HR policies, HR deployment, training and knowledge
opportunities, HR performance, funding)
• Knowledge and information (knowledge, technology and innovation, feedback and
learning, knowledge-sharing)
• Infrastructure
Individuals
The capacity areas for individuals are based on established job descriptions, skill levels and
envisaged training and staff development programmes.
• Job requirements and skill levels (job descriptions, technical and managerial skills)
• Competency development (training material and opportunities, peer exchange
opportunities, access to knowledge)
The assessment process focuses on dialogue, collection and analysis of qualitative

information related to major issues, perceptions and suggestions of national stakeholders on
the above dimensions (enabling environment, organizations, individuals) and capacity areas.
For each dimension/area of the country capacity system, a simple question is asked:
• where are we now? Defining the present capacity level, its existing strengths
and weaknesses;
• where do we want to be? This will define the vision of what capacity is
required for the future. It involves the identification of a set of objectives;
• what is the best way to get there? This will compare the future with the
present situation, and needs can be identified from the difference between
current capacity and desired future capacity.
Defining the desired future situation permits the concerned stakeholders to discuss and
reach consensus on where they can realistically expect to be in the medium term. This will
enable them to have a shared vision of the desired future situation and to identify priorities,
options and strategies in order to reach this goal. Encouraging the participation of key
stakeholders in this process helps to commit them to taking the steps required to achieve the
future desired situation.
6
Various approaches can be used to undertake a capacity assessment, however the focus and
objectives of the process will determine the approach or the mix of approaches adopted for
the CA. In this document we are advocating the use of the FAO Capacity Assessment Matrix
which provides a structured diagnosis of the capacity issues according to the new FAO
Corporate Framework on Capacity Development. This can be used in conjunction with other
already existing sectoral approaches.
4. THE TOOLS: FAO CAPACITY ASSESSMENT MATRIX AND CHECKLISTS

FAO’s approach to CA can be implemented through the use of the FAO Capacity Assessment
Matrix-FAO-CAM and the checklists (Annex 1 includes the checklist for a ultra-light
assessment; Annex 1/a includes the checklist for a light CA; Annex 2 includes the checklist for
a more in-depth assessment tailored to food security; Annex 3 Summary table includes the
FAO-CAM for the final validation with national stakeholders).
The FAO-CAM and the checklists are practical tools for use by FAO technical officers,
consultants and counterpart staff engaged in CD policy dialogue as well as in
project/programme design and implementation. They incorporate good practices 7 and
approaches for effective capacity development. They also offer a “common platform” of
discussion within the UNCT for FAO staff and consultants working at country level 8.
The roots of the FAO-CAM can be found in existing sector specific and cross- cutting tools
that have been developed by FAO9 and by other international Organizations as it is important
to build on the existing strengths and technical capacity of FAO as well as to conform with
the UNDG methodology for capacity assessments within UNDAF and CCA contexts.
The FAO Capacity Assessment Matrix and the checklists attempt to assess the three
dimensions of the CD framework in the four functional capacity areas through a series of
questions. Specifically, the ultra-light checklist includes 18 questions; the light one
encompasses 59 questions, while the FAO-CAM presents about 130 questions. The questions
included in the proposed tools are intended for countries with a certain level of maturity
stage ranging from a fully functioning state (such as India, Ecuador) to a developing state
(e.g. Ethiopia, Mozambique). For states in conflict situations (e.g. Congo DRC, Somalia) where
there is no clear political will or basic infrastructure and services, the tools can provide a
structured logic for the analysis, however further tailoring is needed to meet the needs of
such particular contexts.
7
The premises underlying the Capacity Assessment approach are based on a series of FAO good practices as
well as on International good practices in this area. The FAO good practices in capacity development are
retrievable at http://www.fao.org/capacitybuilding under the section Good Practices Case Study Series
8
It is a “common platform” as FAO’s approach and methodology is based on a tool developed by the UN
Development Group in the context of CCA/UNDAF assessments, (UNDG Capacity Assessment Methodology
retrievable at www.undg.org/docs/8778/UNDG-Capacity-Assessment-User-Guide-Feb-2008-1.doc).
9
In relation to FAO’s context, the reference is made to a selection of such tools: “Phytosanitary Capacity
Evaluation Tool” (PCE) of the International Plant Protection Convention (IPPC) developed in 1999; The FAO
“Strengthening National Food Control Systems: Guidelines and Quick Guide to assess capacity building needs”
developed respectively in 2006 and 2007 retrievable at
ftp://ftp.fao.org/docrep/fao/009/a0601e/a0601e00.pdf;
ftp://ftp.fao.org/docrep/fao/010/a1142e/a1142e00.pdf. ; the “Guide to Assess Biosecurity Capacity”
developed in 2007 retrievable at ftp://ftp.fao.org/docrep/fao/010/a1140e/a1140e02.pdf .
7
If the assessment concerns a functional capacity such as the Policy and Normative capacity of
a country, the questions seek to broadly identify the existing legal and regulatory framework
related to the topic under assessment, the compliance with International standards and the
broad governance issues. The questions should also help to understand how these laws are
implemented in practice, such as the internal capacity of regulatory agencies in terms of
mandates, strategies, inter-sectoral collaboration, processes and systems, human and
financial resources, knowledge and information management, skill levels and learning needs.
An important step of the assessment process is step 6 (illustrated in the next section) during
which there is the validation of the findings with the national counterparts.
Hence, the FAO-CAM Summary table (Annex 3) can be used for bringing together the
assessment results as follows:
1) the first and second column show the dimensions and the selected capacity areas
under assessment;
2) the third column provides a snapshot of the existing situation and lists the main
findings generated by the context analysis and the key informant /groups interviews;
3) the fourth column includes the suggestions of national stakeholders on where they
wish to be in the medium term;
4) the fifth column compares the present with the future situation and identifies the
needs;
5) the last three columns are for listing suggested interventions, responsible actors as
well as to assign priorities to the future interventions for each capacity areas. The
priorities can be assigned as follows: 1= urgent; 2= medium term; 3= long term; 4 =
not a priority).
This Summary table can be used as a synthesis tool after having carried out any of the
three types of country assessments (light, ultra-light or in-depth). The only difference is
that in the light and ultra-light assessments, the second column detailing the capacity
areas is not needed.
Annex 4 in the Excel file, provides an example on how the CAM can be filled in.
Below is a snapshot of the FAO-CAM Summary table
Priorities
Dimensions Capacity areas Existing Desired CD needs Suggested Responsible 1 = urgent
situation situation interventions actors 2 = medium
term
3 = long-term
4 = not a
priority
Policy and legal
Organizations Enabling Environment
frameworks
Economic
framework and
national public
sector budget
allocations....
Institutional
motivation
Operational
capacity
...
8
Skills levels
Individuals Competency
development
9
5. THE ASSESSMENT PROCESS

The main features of the capacity assessment process are: continuous dialogue with national
stakeholders, information collection and analysis.
The ideal steps of this process are listed below. It is important to note that there is a
preparatory phase before the actual implementation. The diagram below provides a visual
synthesis of this process.
1. Scoping 2. Context
Preparatory the analysis &
phase assessment stakeholde
WHY? r mapping
WHAT? WHO?
3. 4. Establish
Implementati Dialogue the
on with capacity
national assessmen
(internatio t team
nal) actors
5. Carry out the capacity assessment
6. Document and validate findings

with national (international) actors
§ PREPARATORY PHASE
It consists of an initial dialogue with national counterparts to define the purpose and scoping
of the assessment and of a preliminary analysis of the country in the areas that are relevant
for the assessment.
Step 1. Scoping the assessment in dialogue with national counterparts
Capacity development and capacity assessment are generally understood as equivalent to training
and training needs, thus from the very beginning of the process, it is essential to develop a broader
understanding of such concepts and obtain consensus on the substantive goals of the assessment.
10
Specifically, it is important to provide an overview of the new FAO CD framework and in light of this,
discuss with national stakeholders what the assessment needs are. Is it necessary to have a broad
overview of the CD needs in ARD (light or lighter version of the assessment for country planning) or is
a more in-depth analytical process required (in-depth assessment)? Are we assessing the capacities
of public/private agencies involved in ARD (assessment at organizational level)? It is important to
clearly define the purpose and objectives of this exercise, i.e. why the assessment is carried out, and
what it seeks to achieve. Among the objectives of the assessment is to obtain a shared vision of
capacity constraints and opportunities and to support national stakeholders to put the basis for an
action plan for capacity development.
Key action: Initial discussions with national counterparts and with FAO Country/ Regional/
Sub-regional Offices to assess the readiness for the assessment process and reach a preliminary
agreement on the process to be followed.
Step 2. Context analysis and stakeholder mapping.

Context analysis involves the collection of information about the country in order to embed the CD
issues in an international and national context. This may include a literature review, an analysis of
project documents and evaluations, poverty reduction strategy papers, public reforms plans, political
and economic assessments, UN agencies’ country common assessments (CCA), etc., and will help to
“profile” the country and identify strategic directions for capacity development in ARD. There are also
structural and institutional factors favouring or impeding capacity development that could explain
why a system works as it does or doesn’t. This means identifying the economic, political, and social
aspects of the country that may influence the ARD system.
The following broad questions can guide this analysis:
1. what are the top priorities within the ARD sector?
2. which ARD sectors will be included?
3. which national public or private agencies, bodies need to be considered ?
4. which national or international actors should be involved?
5. what are the main capacity implications related to ARD in the enabling environment, for
organizations, individuals on which the various national /international actors are intervening?
6. What change processes at national, regional, local levels should be taken into consideration
for the future CD strategy?
7. Are there any other issues (conflicts, crises, history, values..) that need to be considered in
order to better understand the country’s capacity constraints?
For instance, if the ARD sector considered has to deal with food security, it will be important to see
how analysts have already documented the causes of food insecurity. Sources include the World Bank
Poverty and Vulnerability Analysis, Poverty Reduction Strategy Papers, WFP VAM Analyses, etc.. The
context analysis will take into consideration i) the country’s adherence to the International Covenant
on Economic, Social and Cultural Rights, which is the UN Treaty dealing with the right to food; ii) the
existence of policies10 and strategies addressing directly or indirectly food security and the possible
implications for capacity, e.g. in Belarus Decree n.1689 of the Council of Ministers setting up the food
security reserves or in Indonesia the Decree of Minister of Marine and Fishery N. KEP-33/MEN/2001
on Technical Directives for the Utilization of Food Security Credits in the Marine and Fishery Sector;
iii) existing food security initiatives by national or international actors highlighting capacity
10
For instance the FAO Lex database can help in finding information related to national policies
(http://faolex.fao.org/).
11
development interventions across the three dimensions (enabling environment, organizations,

individuals and communities; iv) the main constraints to the success of such interventions (political
dimension of the organizations, informal aspects). Such preliminary analysis is needed to obtain a
picture of the context which will support the assessment exercise .
It is important to highlight that the information required in step 2 may already be available in one
form or another. However, a detailed context analysis is recommended particularly for in-depth
capacity assessments, while for the light and ultra-light assessments, it is recommended that the
information documented at the NMTPF level be used.
Key action: Job aid number 1- Brief context analysis report
To answer question 3 and 4 it could be useful to undertake a stakeholders’ analysis as it provides a
means to identify roles and responsibilities of all the players or groups directly or indirectly involved
in the issue under assessment. When undertaking a stakeholders’ mapping, it is important to keep in
mind the three dimensions of the FAO CD framework 11 and select the stakeholders accordingly. Major
groups of stakeholders might include “national champions” such as decision-makers, strategic
managers, policy makers, professional associations, donors, local power holders etc. Stakeholders
analysis, therefore, should be carried out to determine precisely who should be involved in the
assessment exercise (roles and interests), and the nature of their involvement. The following
questions may guide the choice of stakeholders:
• Who are the stakeholders and institutions that are of relevance to the CD intervention?
• What are their tasks and roles ?
• Are they interested in the CD intervention ?
• Who would champion the capacity development intervention (its design,
implementation...)?
• Who is responsible for the implementation of the intervention(s)?
• Can their interest be rated (very positive++, positive+, not relevant NR, negative-, very
negative--?
• What could be done to persuade some potentially opposing stakeholders?
Key action: Job aid number 2-Stakeholder mapping should be filled in.
§ IMPLEMENTATION PHASE
Step 3. Dialogue with policy/decision makers to seek high level commitment.
Ownership and active involvement of national stakeholders in the conceptualization and
management of the assessment process is crucial to its success (see FAO’s good practice experience
in Kosovo or in Zambia retrievable in : http://www.fao.org/capacitybuilding/good_practices.jsp).
This step involves meeting(s) with high level and senior government officials to build first a shared
understanding of capacity development and then a common understanding of the issues that needs
to be assessed, agree on why the assessment should be carried out (capacity for what?, and capacity
for whom?) and agree on the process to be followed covering the following areas:
 What is capacity development?
 What information is needed and how it will be collected?
11
see explanation of the three dimensions on page 4-5.
12
 How stakeholders will be consulted?

 What is the timeframe of the assessment?
 What financial and human resources will be required?
 How will the findings be shared?
The discussions are intended to be informative as well as an opportunity to review the process and
make adaptations to fit the requirement of the country.
Key action: Job aid 3- Kick-off presentation introducing capacity development concepts,
capacity assessment approach and agree on the process to be followed.
Step 3a. Dialogue with relevant international stakeholders at country level

This step involves consultative meetings with other international stakeholders 12, explaining “the
why” and “the what” the assessment process is trying to achieve.The consultative meeting can be an
occasion to seek support and engagement on the process and on its outcome.
It is important to document the decision taken during step 3 and 3a as this will provide the content
for the Terms of Reference of the capacity assessment team.
Key action: Kick-off presentation on the capacity assessment approach and on the process
that will be followed.
Step 4. Establish the assessment team

Assembling a multi-stakeholder assessment team could help in spurring information exchange and
collaboration among different involved actors and build ownership for follow-up actions. However,
there are also practical issues to be considered, such as the size of the team and the skills required.
Ideally, a small team should be established to manage and implement the capacity assessment
process and it should be led by representatives of the national agencies or of the areas concerned
with the assessment as these individuals have an appropriate knowledge of the context and of the
topic under assessment. However, if the assessment is an in-depth assessment at sectoral level in the
policy area, it will be important to include officials with a legal background. Generally, it is important
to combine sector specific expertise with cross-cutting one.
The team should be willing to listen and work with different stakeholders, to commit time and it
should have an appropriate gender balance.
One of the first tasks for the assessment team will be to agree on the process and on the approaches
to be used for the implementation. In this regard, it is crucial to tailor the content of the checklists
according to the goals of the assessment and to the topic area to be assessed.
The tools focus on functional capacities; however, the assessment team should adapt and expand it
to technical capacities. The assessment team can also articulate additional questions.
Key action: Select and adapt the relevant questions from the checklists to conduct the
assessment (Annex 1, 1/a or 2 depending on the depth of the assessment).
12
Among the international stakeholders, it is important to inform and possibly involve in the process the UNCT as “CD is the
central thrust of the UNDG in countries”. In doing so, the Capacity Assessment process can build on the information
captured at the UNDAF or CCA level.
13
Step 5. Carry out the capacity assessment

The capacity assessment can be implemented through the application of a mix of approaches such as
reviewing documentation, analysing existing project documents, conducting focus group discussions
with appropriate stakeholders, key people interviews, organizing self-assessment workshops,
Strengths-Weaknesses-Opportunities-Threats/SWOT-analysis, organizing broad consultations.
Ideally, carrying out a light version of the capacity assessment should be part of the formulation
phase of the NMTPF and the assessment process should build on the NMTPF situation analysis which
gives a detailed overview of the country context in ARD including policies, strategies, priority trends
and the existing institutional framework. It also encompasses the government and governance profile
in ARD (stakeholder analysis) and an overview of FAO’s and other development partners ARD
interventions and priorities at national, regional and sub-national level, including CD interventions 13.
Briefly, the choice of the combination of approaches depends on the available information, on the
particular needs and situation of the country/sector/ organizational area and is contingent on timing
and on resource accessibility. In addition, rather than prescribing a specific approach or technique, it
is often best if those conducting the assessment can adopt an approach which they are familiar with
and which allows the desired level of participation.
Regardless of the combination of approaches chosen, the FAO-CAM provides the overall assessment
framework that should be used. Below are three examples of how capacity assessments can be
implemented.
For instance, the country policy framework on food safety issues may not be clear, there is no
national programme addressing this issue and no National Medium Term Priority Framework has
been formulated by FAO covering this area. However, the Government appears to be keen to
intervene and build capacities in this area. The context analysis and stakeholder mapping will help to
prepare the ground for in-country interviews with key people and a national stakeholder
consultation. Broad questions directed at key people can be selected from the checklists for the
three-dimension capacity framework (enabling environment, organizations, individuals) and for the
functional area related to Policy and Normative Capacity. The same questions should be then used
for the national stakeholder consultation to cross-check and validate the information gathered
through the situation analysis and the key-informant interviews. For the stakeholder’s consultation, it
is advisable to use the FAO-CAM Summary table (Annex 3) as it allows a picture of the existing
situation, summarizing the desired situation in the different capacity areas or dimensions and
expressing priorities of intervention.
As another example, if we are assessing the policy needs of a country in relation to food legislation,
the assessment may encompass first discussions with central government officials on the existing
policy and regulatory framework, a technical review of the major policy documents, focus group
discussions with parliamentarians, individual meetings, and site visits with all concerned parties.
Then stakeholder consultations are carried out to present the findings on the existing and desired
situation and establish objectives and priority measures for the desired legislation.
Box 1- Participatory law review in fisheries legislation in Tonga 14

The example of FAO’s experience in Tonga in reviewing and developing the new Fisheries legislation
can provide a brief illustration. The Prime Minister of Tonga and the Ministry of Fisheries requested
FAO’s support to develop new fishery legislation. Firstly, it commissioned technical reviews of the
existing legislation by legal and sectoral experts, and then extensive consultations were carried out
13
For more details, please refer to the NMTPF guidelines. Such guidelines are currently under revision.
14
The full case study is retrievable at http:// www.fao.org /capacitybuilding/good_practices.jsp
14
with core ministries at national and local level as well as with representative of local communities and
fisheries associations. Such consultations facilitated the identification of the existing perspectives on
gaps and needs of the existing legislation.
If the organizational needs of food control laboratories are under assessment, then the assessment
process can include the stakeholder analysis and a mapping of the organizations involved in different
types of food analysis and control, a literature review i.e. analyzing available documentation related
to official food control laboratories (mandates, rules, procedures, government degrees and circulars),
the organization of a self- assessment workshop during which managers and staff can discuss
strengths, weaknesses, opportunities and threats across their agencies, interviews with key people
involved in the management of laboratories. The Strengths, Weaknesses, Opportunities and Threats
technique (SWOT) can be useful to undertake a self-assessment of the internal factors (strengths and
weaknesses) and of the external/internal influences (opportunities and threats) affecting the country
or particular sectors and its organizations, communities and people.
An example follows on the application of the SWOT 15 reflecting the new CD framework.
Example of SWOT analysis applied to capacity development

in food safety issues
Positive Negative
Strengths Weaknesses
Enabling environment: Enabling environment:
Decision to formulate a policy for food safety and National standards and regulations not
quality harmonized with Codex.
Organizations: Variations on how food legislation is
Regulations and standards developed to respond to implemented by different agencies and
national economic requirements agencies
Individuals: Organizations:
Food inspectors locally trained in sampling and Overlapping mandates of agencies
inspection techniques involved in food inspections
Individuals:
Laboratory analysts have inadequate skills
Opportunities Threats
Enabling environment: Legal reform commission Enabling environment:
established Political instability of neighbouring
Organizations: Recent establishment of new countries compromising the country’s
consumers associations trade capacity
Organizations:
Resistance to change from some
government agencies and ministries
Key action: Document findings from the different interviews, focus groups, self assessment
workshops.
Step 6 – Documentation and validation of findings with national stakeholders and drafting follow-
up actions
15
See Job aid 4 on how to undertake a SWOT analysis.
15
It is essential to clearly and comprehensively document and discuss the findings of the capacity
assessment with the individuals and organizations that participated in this process.
As previously mentioned, the capacity assessment asks three main questions: “where are we now?”,
“where do we want to be?”, “what is the best way to get there?” The first two questions provide a
means for relevant officials to reflect on the existing situation as well as to envisage where they, as
individuals, organizations, or policy-makers, realistically expect to be in the medium term (five years).
Discussing, brainstorming and reaching consensus on the desired future situation is important to
identify the capacity assets and needs and to consider options. Organizing a final workshop, a
structured consultation is a useful way to arrive at a common vision and to start prioritizing future
interventions and modalities (what is the best way to get there?). The range and choice of possible
modalities of interventions will vary according to the context, the number and types of organizations
involved. Annex 3 Summary table provides a blank version of the FAO-CAM that should be filled in to
summarize the capacity assessment analysis.
It is important that such workshops or consultations are led by a professional facilitator who can
guide the groups during the discussions by asking questions and probing. The assessment facilitator is
not contributing to the discussion. He (she) only collects answers and creates a conducive platform
for sharing ideas.
Key action: Fill in the FAO-CAM Summary table (Annex 3) tailored by assessment
type (light, ultra light, in-depth), which presents key findings on capacity assets and gaps.
Choose a good facilitator to moderate the collective discussion on the option and priorities
for future interventions.
6. Selected resource materials

AusAid 2006- A staged approach to assess, plan and monitor capacity building
DFID 2003- Promoting Capacity and Organizational Development
European Commission 2009- Toolkit for Capacity Development
European Commission 2005- Institutional Assessment and Capacity Development: Why, what and
how?
FAO 1999- Phytosanitary Capacity Evaluation Tool
FAO 2006- Strengthening national food control systems. Guidelines to assess capacity building needs.
FAO 2007- Strengthening national food control systems. A quick guide to assess CB needs.
FAO 2007- Biosecurity Toolkit
IDRC 1995- Institutional assessment
UNDG 2008 Capacity assessment methodology
UNDP 2007 Capacity assessment methodology
16
17
Job aid 1- Context analysis report tailored to food security
The situation analysis report should briefly include the following information that will be fed
into the final assessment report:
1) Background
2) Summary of the main food security and vulnerability concerns related to the country
as highlighted in relevant documents such as World Bank Poverty and Vulnerability
Analysis, Poverty Reduction Strategy Papers, National Food Security Policies, WFP
VAM Analyses.
3) Strategic directions for Capacity development
a. Enabling environment for food security
b. Organizational set-up for food security initiatives
4) Major food security initiatives carried out by national /international actors
highlighting capacity development interventions in the enabling environment, for
organizations, individuals and communities.
5) Stakeholder analysis
6) Bibliography
18
Job aid 2- Stakeholders’ mapping
Stakeholders CD dimension Role Interest Power

(en.
environm.,
organizations,
individuals )
19
JOB AID 3- Kick- off presentation
20
21
22
Job aid 4- How to undertake a SWOT analysis

for food security information systems
The purpose of a SWOT analysis is to identify the main Strengths, Weaknesses, Opportunities
and Threats that characterize a particular situation or entity.
SWOT analysis is often used as a management tool.
In this case we will apply a SWOT to carry out a self assessment workshop in national
agencies involved in Food Security Information Systems. This will enable you to organize,
summarize and even prioritize the wealth of information you have gathered through
answering the questions in the assessment process.
The SWOT approach essentially looks at internal and external processes to detect the
positive and negative factors that impact on the total outcome.
S and W -> refer to the internal process, i.e. the way that the information systems are being
implemented.
O and T-> refer to the environment in which the information systems are being implemented,
but over which the information systems have no control.
Each question may be analyzed against the following dimensions: enabling environment,
organizations, individuals. For instance:
Enabling environment -> Level of sensitization among policy decision makers; government
commitment towards the information system process
-> Availability of resources, reliability of resource flows.
Organizational -> Degree of inter-sectoral integration or mandates, focus/ objectives, process

of information transfer, etc.
Individual -> skill level, attitudes, behaviour.
The SWOT analysis is action-oriented which is important for drafting national CD strategies.
Steps of the SWOT

The following are the five step of a SWOT analysis.
Step 1 Each SWOT analysis should be undertaken by the Assessment Team as a whole. The
Team should divide attendants into groups containing a minimum of two and a maximum of
five persons per group.
Step 2
On a large board or wall, draw the following blank table:
23
Dimensions Strengths Weaknesses Opportunities Threats

Enabling
Environment
Organizations
Individuals
On a flip chart, write the words Strengths, Weaknesses, Opportunities and Threats at the top
of four pages (one on each page).
Step 3
Starting with Strengths, ask each member or group to identify the strengths for each row in
the matrix e.g. What are the main strengths of the political environment? What are the
organizational strengths? Etc.
You should allow a minimum of 30 minutes for this part of the process. Allow more time if
you observe that individuals/groups are still adding items to their list.
Step 4
Working with the whole Assessment Team, list all identified strengths on the relevant page of
the flip chart.
Through discussion, narrow down the list by crossing out repeated items, dropping those
that the Team decides are inappropriate, and combining others that are similar.
Try to make sure that all members of the Team contribute to the discussion. When the list is
final, transfer the agreed items to the blank table prepared in Step 2.
Repeat the process in order to identify weaknesses, opportunities and constraints.
Step 5
When discussing opportunities, you should consider circumstances or potential factors that
could be exploited so as to improve the impact or sustainability or cost-effectiveness of the
programme you are assessing.
24
Annex 1
CAPACITY ASSESSMENT
Ultra –light Checklist for NMTPF / UNDAF / Joint programmes
WHERE ARE WE NOW?
(Existing capacities)
What is the purpose of your assessment? Are you involved in the NMTPF process? Are you involved
in the UNDAF formulation? Are you involved in a joint –programme with other agencies?
The following list of questions needs to be considered for an initial understanding of capacity
development assets and needs at country/ regional /local level.
They can be useful during the NMTPF or the UNDAF formulation. Part of this information can already
be available through existing reports where analysts have already documented the main ARD and
capacity issues. However, the advantage of this checklist is that it offers a structured way to engage
in dialogue with national counterparts or other agencies using the existing information and
channelling the discussion across the three dimensions of CD.
Dimension: Enabling environment

1. Is the country signatory to major international declarations, initiatives and codes, relevant to ARD?
2. To what extent are such political commitments (at international level) actively implemented?
3. In the existing ARD policies, what are the performance improvements that are needed?
4. What are the highest priorities? Are they favouring pro-poor development?
5. What are the capacity weaknesses at policy level that are known?
Dimension: Organizations (formal, informal, public and private including CBOs, CSOs)
6. Do the different Ministries/departments involved in the administration of the ARD sector have
adequate technical capacity?
7. What are the strengths and weaknesses at institutional level?
8. Is institutional knowledge at a sufficient level? Is there adequate practical experience in the sector?
9. Is institutional knowledge up to date with latest novelties in ARD?
10. Which Ministries/departments (central and local level) are involved in the development,
administration, implementation and enforcement of legislation, regulations?
11. Are the technical capacities of civil society organizations and the private sector adequate?
12. Does the relevant Ministry /department have a programme for staff training to improve skills at
various levels?
13. Over the last 12 months, to what extent have Ministries /departments/agencies experienced
turnover of competent staff? Which factors contributed to it (recruitment, promotion, staffing,
supervision, personnel evaluation, salary structures etc.) ?
Dimension: Individuals
14. What skills are commonly found in this sector?
15. Are there learning opportunities preparing individuals to respond to country needs at a technical
level?
16. Is there adequate practical experience in the sector?
17. Are individuals up to date with latest novelties in the sector?
18. Are they familiar with relevant equipment?
25
Annex 1/a
CAPACITY ASSESSMENT
Light checklist for NMTPF / UNDAF / Joint programmes
WHERE ARE WE NOW?
(Existing capacities)
The following list of questions builds on the ultra-light CA and allows deepening the discussion on the
capacity assets and needs in relation to the functional capacities, which are necessary in countries to
lead their change process.
Overall, the questions will help understanding for each functional capacity the following issues:
1. What are the capacity strengths and weaknesses for policy formulation and implementation?
(Functional capacity 1)
2. What is the country’s capacity to generate, share and adapt relevant knowledge at the enabling
environment, organizational, individual level? (Functional capacity 2)
3. What are the country’s capacities in partnering at the enabling environment, organizational,
individual level? (Functional capacity 3)
4. What are the country’s capacities to formulate and implement relevant programmes? (Functional
capacity 4)
FUNCTIONAL CAPACITY 1:
POLICY AND NORMATIVE CAPACITY= capacity to formulate and implement policies and legislation

1. What supportive policies, strategies and initiatives exist to address directly or indirectly the relevant ARD
issues? Are they adequate and are they properly implemented?
2. Is the country signatory to major international declarations, initiatives and codes, relevant to the sector?
(To what extent are such political commitments (at international level) actively implemented?)
3. What percentage of public expenditure is devoted to the sector?
4. What is the influence of the political arena on the sector?
5. Are there clear mandates among the different Ministries/departments involved in the development and
administration of relevant legislation?
6. Is there a mechanism for inter-sectoral collaboration?
7. Are there institutional processes and procedures for policy planning and development?
8. To what extent are civil society organizations and the private sector involved in such processes?
9. Does the relevant Ministry /department have a programme for staff training to improve skills at various
levels?
10. Over the last 12 months, to what extent have Ministries /departments experienced turnover of competent
staff? Which factors contributed to it (recruitment, promotion, staffing, supervision, personnel evaluation,
salary structures etc.) ?
11. To what extent are existing policies and regulations accessible (in printed, online formats …) and easy to
understand?
12. To what extent is civil society, private sector and service delivery organizations knowledgeable about the
existing legislation?
Dimension: Individuals
13. What skills are available to respond to needs at policy level?
14 Are there learning opportunities preparing individuals to respond to country needs at policy level?
26
KNOWLEDGE CAPACITY = capacity to access, generate, manage and exchange relevant knowledge and
adapt it to local systems

15. Do national legislation and regulations enable the adequate access, management and exchange of
information and knowledge in the relevant sector?
16. Is access to research, education and training regulated by legislation or regulations?
17. What percentage of public resources is devoted to national research activities?
18. Which agencies (central, regional, local) are involved in research activities and in the production
and delivery of knowledge? Do their mandates clearly state these activities?
19. Do agencies (central, regional, local) adequately access, manage and exchange information and
knowledge in the relevant sector?
20. Are there institutional processes for knowledge sharing ?
21. Is there a national research and training institute dedicated to the relevant issues ( or does the
country have access to one in the region)?
22. Does it have an active programme of research in the thematic area?
23. Does the institution have the capacity to encourage knowledge networks and information sharing
for better access to info and knowledge?
24. Does the institution have the capacity to absorb and process relevant knowledge and adapt it to
local needs?
25. Is technology (PCs, communication technology, internet access) available and allocated
appropriately?
Dimension: individuals
26. Is there competent staff to carry out research activities?
27. Are there any training opportunities for national staff?
28. Has any training been carried out in knowledge sharing techniques?
27
PARTNERING CAPACITY = capacity to connect, to advocate and engage in networks, alliances and
partnerships

29. Is the country part of supra-national or regional partnership network? How is the country
involved in it? What benefit the country is receiving from it?
30. Are authorities interested in the establishment of national/ supra-national/local partnerships?
31. Do authorities have the capacity to mobilize funds from external sources?
32. Do authorities have the capacity to assess the share of external assistance in national
development budget and maintain a good balance?
33. Are national organizations interested in developing partnerships with other organizations?
In what type of partnership are they mostly interested in?
34. Who are the main stakeholders in the sector? How are relations among them?
35. Over the last 12 months, what formal partnerships have the national institution(s) engaged in?
36. To what extent do staff have the necessary skills to engage in dialogue with other stakeholders
and in strategic partnerships ?
37. Do national agencies have the capacity to support access to information belonging to other
organisations and partners?
38. Are there mechanisms in place to foster information sharing and to resolve eventual disputes
among partners to foster trust and cooperation?
39. Are the relevant skills in place to support partnership building in the relevant sectors?
40. Are there learning opportunities for strengthening negotiation and communication skills ?
28
IMPLEMENTATION = the capacity to manage and implement programmes from planning to

monitoring and evaluation

41. Does legislation enable the successful implementation of programmes?
42. Are central and decentralized authorities committed to programme implementation and how
is this commitment reflected in accountability mechanisms?
43. Does the government provide adequate funding to programmes in the relevant sector?
44. Are there external funds for such programmes and initiatives?
45. Which are the major national agencies involved in programme implementation ?
46. Are their mandates clear?
47. Do agencies have the know-how to design, implement, monitor and evaluate programmes?
48. Is knowledge in Financial management, HR management, accounting, planning, budgeting, and
M&E at a sufficient level?
49. What are the most important functions for such agencies to carry out? Are there any gaps?
50. Is the quality and quantity of such services acceptable?
51. Are there systems to monitor and evaluate programme implementation?
52. Are CSOs, CBOs involved in programme implementation?
53. What concrete measures have been taken at national level to diversify the source of funding?
54. Over the past year, what problems or challenges, if any, did the institution(s) face with regard to
the availability of resources for ARD programme activities?
55. Do national and local implementation bodies have sufficient access to information about good
practices?
56. Is staff of national, subnational implementation bodies adequately trained or prepared to carry
out
implementation functions (from project design to evaluation)?
57. How often over the last 12 months have staff members been trained?
58. Are there (on-the-job) training programmes or learning opportunities for programme designers
and implementers?
59. Are there learning opportunities to strengthen managerial capacities?
29
Annex 2
In –depth checklist tailored to food security
Identification of Capacity Development assets and needs
WHERE ARE WE NOW?
POLICY AND NORMATIVE CAPACITY
Capacity to formulate and implement anti –hunger policies
DIMENSION 1: ENABLING ENVIRONMENT
Policy and legal frameworks

• What supportive policies, strategies and initiatives exist to address food security
issues?
• If there are, note the name of the Policies or Regulations, year of enactment, year of
the most recent revision, current status.
• Does the policy clearly define food security objectives and priorities?
• Does it include an outline of the policy measures to be implemented?
• Does it define the institutional set-up?
• Does it define roles, responsibilities and rights in policy implementation?
• Have any policy reviews been undertaken in the last five years? What were the key
recommendations? What is the status of their implementation?
• Are these policies favouring pro-poor development?
Policy commitment and accountability framework

• Is the country signatory to major relevant International Conventions or Declarations
dealing with the right to food (particularly the International Covenant on Economic,
Social and Cultural Rights)? If so, provide details.
• To what extent and how does the country participate in International Fora or debates
on Food Security?
• How is political commitment and support to food security demonstrated?

• Is there political will to address the needs of the most vulnerable?
Economic framework and national public sector budget allocations

• Are there national sources of funding for food security initiatives?Is the amount
commensurate to meet the needs of the sector?
• Are there external sources of funding?
• Is there a cler budget break down between government and donor funds?
Governance and power structures

• To what extent does the legislation reveal contradictions or areas of overlap in
responsibilities for food security activities?
DIMENSION 2: ORGANIZATIONS
Motivation
• Which Ministries/ departments (central/local level) are involved in the development,
administration of food security legislation?
• Are there clear mandates among the different Ministries/departments involved in the
development, administration of food security legislation ?
Strategic, organizational and management functions
30
• To what extent and how do the concerned agencies collaborate?

• Is there a mechanism for ensuring coordination, information exchange and effective
policy implementation? If yes, what is its mandate? Which Ministries participate and at
what level? Does it meet regularly? Does it have a permanent secretariat?
Operational capacity
• Are there clear processes, procedures for food security policy development or
implementation ?
• To what extent are civil society organizations, NGOs involved in policy processes?
Human and financial resources

• Does the Ministry/department have the capacity to design human resources policies
and develop strategies for the development of human resources?
• Does the Ministry/department have written job descriptions for the functions and
responsibilities of their staff ?
• Is there a job profile for the policy function?
• Does the Ministry /department have a programme for staff training to improve skills at
various levels?
• How often over the last 12 months have staff members at public institutions been
trained?
• To what extent was such training relevant to staff needs?
• Over the last 12 months, to what extent has the agency/body experienced turnover of
competent staff?
• How have the following factors contributed to this turnover (recruitment, promotion,
staffing, supervision, personnel evaluation, salary level etc..)
• How have the same factors contributed to staff retention?
Knowledge and Information

• To what extent are existing food security policies and regulations accessible (in printed,
online formats …) and easy to understand?
• To what extent are civil society, private sector and service delivery organizations
knowledgeable about the existing legislation on food security?
• Are there mechanisms for knowledge-sharing?
• Are there mechanism for knowledge and information management on food security?
• Is staff adequately informed on global policy issues related to food security?
• Which agencies are responsible for food security information activities (early warning,
vulnerability analysis etc..) for policy planning?
DIMENSION 3: INDIVIDUAL
Job requirements and skills levels

• Do policy staff have the required technical and managerial skills (eg. to undertake high
level negotiations and policy analysis)?
• What type of skills would be needed to perform effectively ?
Competency development
• Are there adequate training/ learning opportunities for staff (e.g.policy-makers)?
• What type of learning opportunities would be needed to develop appropriate competences
for policy formulation and implementation?
31
KNOWLEDGE CAPACITY
Capacity to access, generate, manage and exchange relevant knowledge and adapt it to
local systems

• Do national legislation and regulations enable adequate access, management and
exchange of information and knowledge in food security?
• Is access to research, education and training on food security issues regulated by
legislation or national regulations?
• Is there a legal framework for food security information sharing?

• Is access to food security information activity regulated in the national plans ?
• Is there a food security information framework ratified through an act of Parliament?
• Is there government commitment to the use and maintenance of food security
information systems ?

• Are public resources currently allocated to sectoral education, research, extension on
food security ?

• Are there enforcement mechanisms ensuring access to information and knowledge on
food security?
Motivation
• Which organizations (central, regional,local) are involved in research activities related
to food security and in vulnerability analysis ? Do their mandates state this?
• Is one organization mandated to oversee all the statistical data and information on food
security activities?

• Do the responsible organizations have the capacity to carry out research and
information activities on food security ?
• Does the organization have the capacity to develop strategies for promoting knowledge
networking and sharing on food security?
• Does the organization have the capacity to absorb/ process global knowledge on food
security and adapt it local needs?
• Is there a national statistical system that has the mandate to facilitate the flow of data
and information on food security?
• Has a network been set-up to facilitate the exchange of food security information ?
• Are research institutes able to participate in policy and programme formulation?
• What is the current quality of the food security information systems?
• Have protocols for standards in data collection been established and implemented?
32
• Is there an adequate number of staff (at national and subnational levels) specialized in
sectoral issues ?
• Is the current level of financial resources dedicated to sectoral research programmes
adequate?
• How accessible are education, knowledge and training opportunities to staff?

• Are there national research bodies on food security issues ? If yes, which thematic
areas are covered?
• Are there any twinning arrangements among research bodies? If yes, how many ?
• Does the organization have the capacity to engage in data collection processes? Is data
used to influence policy decisions? Is there a mechanism ensuring a regular update and
follow-up on collected statistics?
• What are the means of sharing and communicating food security information (reports,
bulletins, newsletters, web-sites...)
• Does the organization have the capacity to encourage knowledge networks and
information sharing on food security inside and outside ?
• How is the information disseminated (format, periodicity, channels)?
• Does civil society actively seek networking opportunities to share knowledge on hunger
and poverty reduction?
Infrastructure
• What tools (software, technology) are available for an integrated food security
analysis?

• Are there clear job descriptions for food security analysis and research, knowledge
management on food security ?
• Do research staff or food security focal points have the required technical and
managerial skills ?
• Are there any specialists on food security integrated analysis ?
• Are there any training/learning opportunities for national/ local staff?
• How are individual learning needs defined?
• Is pedagogy defined based on individual goals and profiles?
• What type of learning opportunities would be needed to develop appropriate competences ?
33
PARTNERING CAPACITY
Capacity to capacity to connect, to advocate and engage in networks, alliances and
partnership for food security

• Does the country participate in national/regional networks on food security ?
• What type of involvement does the country have?
• What's the country receiving from this participation?

• Are national authorities interested in the establishment of partnerships ? Is inter-
sectoral work seen to add value to the work and outputs of single agencies involved in
food security ?

• Do authorities have the capacity to mobilize funds for food security initiatives from
external/other sources?
• Do authorities have the capacity to assess the share of external assistance on food
security initiatives in national development budgets?
Motivation
• Are national agencies interested in developing partnerships with other organizations ?
What type of partnerships ? For which purpose?
• Are there cross-ministerial linkages on food security issues?

• What agencies/stakeholders are working in food security , and how are relations
among them? Are they responsible for short -term emergency response or longer-term
development planning ?
• Over the last 12 months, in what formal partnership have the organization(s) engaged
in ?
• Is there any evidence that partnerships are helping the organization to meet its
objectives? If so, please specify (e.g. financial benefits, technical skills, new networks).
• Is there any formalised process allowing stakeholder’s consultation on food security
issues ?
• Do agencies have the capacity to involve CSOs, CBOs and other stakeholders in
programme and project implementation?
• To what extent do staff have the necessary skills to engage in dialogue with other
stakeholders and in strategic partnerships ?
• Is there a sufficient number of employees carrying out these functions ?

• Do organizations have the capacity to implement programs for facilitating access to
technology, information, capital, knowledge from other/external partners?
34
• Are there mechanisms in place to foster information sharing and to resolve disputes
among partners to foster trust and cooperation?
• Do civil society / NGOs actively seek networking opportunities to share knowledge on
hunger and poverty reduction?
• Are research institutes able to participate in policy, strategy and programme
formulation?

• Are the relevant skills in place to support partnership building in food security? If not,
what type of skills are required?
• Are there learning opportunities for strengthening negotiation and communication
skills?
• To what extent do the existing training events prepare individuals to build or
strengthen such capacities?
35
IMPLEMENTATION CAPACITY
Capacity the capacity to manage and implement programmes from planning to
monitoring and evaluation

• Are there policy priorities supporting the implementation of food security programmes
or initiatives?
• Is there an explicit hunger and vulnerability strategy preferably linked with a Poverty
Reduction Strategy ?

• Are central and decentralized authorities committed to food security programme
implementation and how is this reflected in terms of accountability ?

• Are there national specific budget lines for food security programmes/ initiatives ?
• Are external funds for such programmes and initiatives available?
• Are government's and donors' funds predictable on these programmes?
• Is allocation of resources transparent to such programmes from central government to
sub-national and local governments?
• Do subnational and local governments have the capacity to provide reports on these
programmes/ inititatives? Is this information consolidated with central govenment public
expenditure reports?

• Are national/ local agencies mandated for food security programme implementation
independent from political influences?
Motivation
• Which organizations have a mandate for food security programme implementation ?
Are their mandates clear?
• Is there one agency that has the mandate to serve as a focal point for food security
activities?

• Do organizations have the know-how to design, implement , monitor and evaluate food
security programmes ?
• What are the most important functions for such organizations to carry out ? Are there
any gaps? Are such functions performed adequately?
• Do any inter -agency processes, groups or other coordination mechanism focused on
food security exist? If so, for which purpose ? What are its strengths and weaknesses?
• Are there documented procedures or standards for programme implementation (from
planning, quality management, M&E)?
• Are there systems to monitor and evaluate food security project/programme
implementation ?
• Have protocols for standards in data collection been established and implemented (e.g.
sampling, format for the exchange of data etc...) ?
36
• Is staff of local and national implementation bodies adequately trained or prepared ?

• How often over the last 12 months have staff members received training?
• To what extent do staff have the necessary skills to carry out implementation functions
(from project design to evaluation) ?
• Over the past year, what problems or challenges, if any, did the organization face with
regard to availability of resources for programme activities?

• Do national and local implementation bodies have access to food security information,
innovation and good practices?
• Are there examples of the use of local knowledge in project/ programme activities?
• How do competent authorities and competent bodies share information with each
other?
• Are there formal or informal mechanisms for information sharing within and between
agencies including Government, research institutes, UN agencies and civil society ?
Infrastructure
• Are technical equipments, agricultural inputs, vehicles for programme monitoring,
computers etc.. available to ensure a quality programme/ service?

• What skills level currently exists in: planning, negotiating, financial and project
management, coordination, monitoring and communication?
• Are there training/learning opportunities for project/ programme implementers or
managers?
• To what extent do the training events prepare individuals to respond to the
project/programme needs?
37
Annex 3 -Summary table -Identification and Prioritization of Capacity Development assets and needs
Capacity Existing Desired Capacity Suggested Responsible Priorities
areas situation situation Development interventions actors (1-4)
needs
1 = urgent
WHERE ARE WHERE DO 2 = medium
Dimensions
WE NOW? WE WANT TO WHAT IS THE term
BE? BEST WAY TO 3 = long-
GET THERE? term
4 = not a
priority
Enabling Policy and legal
environment frameworks
Policy
commitment
and
accountability
framework
Economic
framework and
national public
sector budget
allocations
Governance
and power
structures
38
Organizations Motivation
Strategic,
organizational
and
management
functions
Operational
capacity
Human and
financial
resources
Knowledge and
Information
Infrastructure
39
Individuals Job
requirements
and skills
levels
Competency
development
40

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MGR, OEKC, Sept.

FAO Capacity Assessment Approach and Supporting Tools

2. DEFINITION AND SCOPING OF FAO CAPACITY ASSESSMENT (CA)

3. DESCRIPTION OF FAO’S APPROACH TO CAPACITY ASSESSMENTS

Organizations (Public/private including formal and informal organizations, CBOs, CSOs).

The assessment process focuses on dialogue, collection and analysis of qualitative

4. THE TOOLS: FAO CAPACITY ASSESSMENT MATRIX AND CHECKLISTS

5. THE ASSESSMENT PROCESS

5. Carry out the capacity assessment

6. Document and validate findings

Step 2. Context analysis and stakeholder mapping.

development interventions across the three dimensions (enabling environment, organizations,

 How stakeholders will be consulted?

Step 3a. Dialogue with relevant international stakeholders at country level

Step 4. Establish the assessment team

Step 5. Carry out the capacity assessment

Box 1- Participatory law review in fisheries legislation in Tonga 14

Example of SWOT analysis applied to capacity development

6. Selected resource materials

Job aid 1- Context analysis report tailored to food security

Job aid 2- Stakeholders’ mapping

Stakeholders CD dimension Role Interest Power

JOB AID 3- Kick- off presentation

Job aid 4- How to undertake a SWOT analysis

SWOT analysis is often used as a management tool.

Organizational -> Degree of inter-sectoral integration or mandates, focus/ objectives, process

Individual -> skill level, attitudes, behaviour.

Steps of the SWOT

Dimensions Strengths Weaknesses Opportunities Threats

Dimension: Enabling environment

Dimension: Enabling environment

Dimension: Enabling environment

Dimension: Enabling environment

IMPLEMENTATION = the capacity to manage and implement programmes from planning to

Dimension: Enabling environment

DIMENSION 1: ENABLING ENVIRONMENT

Policy and legal frameworks

Policy commitment and accountability framework

• How is political commitment and support to food security demonstrated?

Economic framework and national public sector budget allocations

Governance and power structures

Strategic, organizational and management functions

• To what extent and how do the concerned agencies collaborate?

Human and financial resources

Knowledge and Information

Job requirements and skills levels

DIMENSION 1: ENABLING ENVIRONMENT

Policy and legal frameworks

Policy commitment and accountability framework

Economic framework and national public sector budget allocations

Governance and power structures

Strategic, organizational and management functions

Human and financial resources

Knowledge and Information

Job requirements and skills levels

DIMENSION 1: ENABLING ENVIRONMENT

Policy and legal frameworks

Policy commitment and accountability framework

Economic framework and national public sector budget allocations

Strategic, organizational and management functions

Human and financial resources

Knowledge and Information

Job requirements and skills levels

DIMENSION 1: ENABLING ENVIRONMENT