CAPACITY

ASSESSMENT AND
PLANNING
August 26 – 31, 2013
The Ritz Hotel at Garden Oasis
Davao City
--modified Chinese proverb
CapDev Planning
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
STEP 5: PRIORITIZE
CAPDEV INTERVENTIONS
Contribution-Effort Quadrant
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
and Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
Possible number of interventions
Total Num of =Number of
Interventions= development outcomes
* Number of sub-sectors
* Number of pillars *
Number of
interventions/pillar
= 4 *22*6*2
= 3,168!!!
Why prioritize?
• Time: What can be done in 3 years?
• Resources: What can be done with the resources
currently available?
• Optimize the gains: What interventions will generate the
best results?
• Multiple demands: What interventions will yield benefits
for more stakeholders?
 ELA Process
1 Planning to Plan
CapDev Agenda
Formulation Process 2 Prioritizing Issues

3 Consulting with Multi-Stakeholders

Context Analysis 4 Defining/ Revisiting the LGU Vision and Mission

5 Formulating Goals and Objective

6 Prioritizing Programs, Projects and Capacity Development Needs

Capacity Assessment
7 Determining Legislative Requirements

8 Building Commitment
CapDev Planning
9 Securing Endorsement, Adoption and Approval

10 Moving the ELA to Action

11 Popularizing the ELA

12 Managing and Sustaining ELA Implementation

What is the Contribution-effort
matrix
• This tool is used in choosing solutions that seem easiest
to implement but with the biggest contribution to the
desired outcome.
• The tool is based on two criteria: (1) its contribution to the
desired outcome and (2) level of effort in implementing
the solution.
 Prioritization Template
CHANGE MATRIX
PERFORMANCE Area
Current State Desired State Programs, Projects and
Activities

Capacity Level of Level of effort GO

contribution WAIT
STOP
Current State Desired State Intervention H M L H M L
Structure

Competencies

Management Systems

Enabling Policies

Knowledge and Learning

Leadership
Prioritizing Solutions

Level of Contribution

• Addresses the capacity gap(s)

• Triggers the solution of multiple issues/gaps
• Generates the best results
• Yields benefits for more stakeholders

Level of Effort
• Time Frame
• Availability and/or accessibility of resources
• Builds on and sustain current and projected gains from past
and current interventions
Contribution and effort matrix
Traffic lights: Green, Yellow, Red
• Green= GO! These (Cells 1-3) are your high priority
interventions;
• Yellow= Wait! These (Cells 4-6) need another round of
discussions until you reach a consensus whether to
include the intervention among your high priority or
among those to be parked until resources are made
available;
• Red= Stop! These (Cells 7-9) may be dropped off from
your list of interventions.
Let’s do it!
• From the Change Matrix, retrieve the proposed CapDev
interventions.
1
• For each intervention, identify the level of effort needed to
implement the intervention. Identify whether the level of effort is
2 high, medium or low.

• For each intervention, identify its contribution or impact in

generation of solution. Identify whether the impact is high,
3 medium or low.

• Identify whether the intervention is a (1) quick win; (2) major

project; (3) fill in; (4) thankless job.
4
STEP 6: DETERMINE
RISKS AND MITIGATION
STRATEGIES
Risk Register
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
and Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
What is the risk register?
• The tool is prepared at the beginning of a project to
characterize/identify all the risks associated with the
project.
• Is used to identify project risks, analyze the probability of
the risks occurring and the impact it would have on the
project should the risks occur, and determine strategies
that will mitigate the effects of the risks
Why do the risk register?
• Reduce the likelihood of the risk occurring.
• Increase the visibility of the risk.
• Increase the ability of the project team to handle the risk,
should it occur.
• Reduce the impact of the risk, should it occur.
 ELA Process
1 Planning to Plan
CapDev Agenda
Formulation Process 2 Prioritizing Issues

3 Consulting with Multi-Stakeholders

Context Analysis 4 Defining/ Revisiting the LGU Vision and Mission

5 Formulating Goals and Objective

6 Prioritizing Programs, Projects and Capacity Development Needs

Capacity Assessment
7 Determining Legislative Requirements

8 Building Commitment
CapDev Planning
9 Securing Endorsement, Adoption and Approval

10 Moving the ELA to Action

11 Popularizing the ELA

12 Managing and Sustaining ELA Implementation

 Risk Register
CHANGE MATRIX
PERFORMANCE Area
Current State Desired State Prioritized Programs,
Projects and Activities
CAPACITY Level Level Quick Risk Intersit Mitigati Risk
of of wins/ definiti y on owner
contri effort Major on needed
bution project?
Fill-ins?
Thankles
s tasks
Current Desire Interve H M L H M L
State d State ntion
Structur
e

Compet
encies

Manage
ment
System
s

Enablin
g
Policies

Knowle
dge and
Learnin
g

Leaders
hip
What are the elements of the risk
register?
• Risk definition which defines the key risks to the project
• Risk level which establishes the intensity of the risk, e.g.
High, Medium or Low
• Risk mitigation strategy which outlines the risk
response strategies that will be used to manage the risk
to prevent a risk event
• Risk owner identifies the owner of the risk, or the person
or unit responsible for dealing with the risk event
Types of risks
• Operational risks have potential impact on the program’s
or project’s ability to operate effectively and efficiently.

• Human resources: fast turnover, inadequate experience, no

performance assessment in place, lack of required competencies,
inadequate training, lack of required number of personnel

• Performance management: unclear roles and responsibilities,

unrealistic expectations of results, weak reporting on results, no
performance metrics installed
Types of risks
• Financial risks refer to the potential impact on the
program’s or project’s ability to properly protect public
funds.

• Funding: Inadequacy of funding, inability to disburse,

delays in release of funds, weakness in procurement

• Fiduciary: Poor financial management capacity,

inadequate value for money, poor procurement capacity,
corruption
Types of risks
• Development risks are those that have potential impact on the
project’s ability to achieve expected development results.

• Strategic direction: Lack of direction and leadership, unclear policy,

problems of coherence with partners and donors, weak coordination
with partners

• Socio-cultural, security, economic, conflict and governance:

Unstable political regime, gender biases that limit women’s
participation, lack of security, inappropriate policy framework

• Institutional capacity: lack of capability to-- commit and engage,

carry-out technical service delivery and logistical tasks, relate and
attract resources and support, adapt and self-renew, balance diversity
and coherence

• Natural disasters: Climate instability, environmental vulnerability, lack

of disaster management planning
Types of risks
• Reputation risks are those that have potential impact on
the project’s ability to maintain the confidence of its
stakeholders regarding fulfilling its mandate.

• Inability to produce results, unresolved expectations on the part of

the public, risk of missing an opportunity to build a positive
reputation by communicating a success, values and ethics risks,
weak communication strategy
Sample risk register
Lets do it!
• Identify risks for each intervention
1

• Decide on the risk level or intensity of the

2 risk, using a rating scale

• Identify risk response strategy/ies for each

3 risk factor identified

• Identify the risk owner

4
STEP 7: FORMULATE
THE CAPDEV AGENDA
CapDev Agenda
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
and Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
What is the CapDev Agenda
• A roadmap of appropriate individual and
organizational enhancement interventions
• within specific timeframes
• identified milestones and deliverables
• available and accessible resources
• …. to address priority capacity development
needs along defined LGU performance
outcomes
What are the elements of the
CapDev Agenda?
• Targeted Outcome Area/ ELA Priority and Performance
Goals
• Current State of Capacity
• Desired State of Capacity (Capacity Development
Objectives)
• Capacity Development Interventions
• Expected Output
• Target of CapDev
• Timeframe
• Funding Requirements by year
• Process Owner/ Office Responsible
• Source of Support/ Technical Assistance
Why formulate the CapDev
Agenda?
• The CapDev Agenda serves as basis for:
• Communicating the strategic directions and reform
agenda of the current leadership;
• Allocating the budget requirements of each capacity
development intervention across outcome areas of the
LGUs;
• Mapping out a results framework/ monitoring and
evaluating the effectiveness of the CapDev
interventions.
• Generating accountabilities for institutionalizing and
reaping the gains of the capacity development
intervention
 ELA Process
1 Planning to Plan
CapDev Agenda
Formulation Process 2 Prioritizing Issues

3 Consulting with Multi-Stakeholders

Context Analysis 4 Defining/ Revisiting the LGU Vision and Mission

5 Formulating Goals and Objective

6 Prioritizing Programs, Projects and Capacity Development Needs

Capacity Assessment
7 Determining Legislative Requirements

8 Building Commitment
CapDev Planning
9 Securing Endorsement, Adoption and Approval

10 Moving the ELA to Action

11 Popularizing the ELA

12 Managing and Sustaining ELA Implementation

CapDev Agenda
CHANGE MATRIX
PERFORMANCE Area
Current State Desired State Prioritized Programs,
Projects and Activities
CapDev Agenda

• Expected Output: plan, program, system, process,

trained staff
• Target of CapDev: Beneficiaries of the intervention;
• Timeframe: which year, and what is the duration (e.g.,
3months, etc.)
• Funding Requirements: estimated cost/ budget
required
• Process Owner/ Office Responsible: who will mainly
be accountable for making sure the intervention
happens
• Source of Support/ Technical Assistance
Let’s do it!
• Cull the current state of capacity.
• This is captured in the Capacity Change Matrix of Step 4;
1

• Cull the desired state of capacity.

• This is also captured in the Capacity Change Matrix of Step 4.
2

• Cull the capacity development interventions.

• This is also discussed in the Capacity Change Matrix of Step 4.
3

• Identify expected outputs of the intervention

• The output may be a written policy, guideline or procedure reflecting improvements
4 in systems and processes introduced as a result of the Capdev intervention
Let’s do it
• Identify the target individuals, divisions that should be involved in or
should be addressed by the proposed capacity of the Capdev
5 intervention.

• Identify timeframe of the implementation of the CapDev intervention.

• Specify the start start and end of completion of each capacity
6 development intervention.

• Identify the funding requirements for Year 1.

• Refer to Step_5 on Prioritizing CapDev interventions. Choose Year 1
7 CapDev interventions.

• Identify the funding requirements for Year 2

8
Let’s do it
• Identify the funding requirements for Year 3.
9
• Identify the process owner/office responsible.
• The process owner owns the process that is being
10 improved.

• Identify the source of support or technical

assistance for each intervention.
11
Sample CapDev Agenda
Current Desired state Capacity Expected Target of Time Funding Sources of Process Source of
state of of capacity Development Output CapDev Frame Requirements funding owner/ support/
capacity Interventions Yr Yr Yr Office Technical
Assistance
1 2 3 responsible
1 2 3 4 5 6 7 8 9 10 11 12
Structure
ESWMB Functional Activation of Memo of Members 3 mos P30K IRA Environ- DILG-
organized ESWMB with SWM Board Under- of the ment MLGOO,
but not regular standing SWMB Officer or LGRRC,
functional
meetings defining Designate or
and proper roles of or the DENR-
coordination the SWM MPDC EMB
Board Regional
Office
MENRO MENRO Appointment MENRO MENRO 1 year 100K IRA Office of DILG,
and staff appointed of MENRO created the Mayor, MLGOO
are all with office and staff SB (TA)
designates and
personnel Provision of
budget

Operational Operational Strategic

strategy strategy are planning
half-baked in place

Inadequate Service Team and

service delivery very commitment
delivery satisfactory building

Regular
meetings

Formulate
SWM plan
Considerations in CapDev
Planning
• Sequence of interventions (which comes first)
• Timing of interventions (is this the right time?)
• Quick-wins vs long term solutions (demonstrate
benefits quickly to gain support/ momentum)
STEP 8: INTEGRATING
THE CAPDEV AGENDA IN
THE PDPFP/ELA
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
and Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
Format of the ELA
Format of the ELA
LGU CapDev Cycle

• Term-based
LGU Performance
• Aligned with budget cycle Goals Achieved
What is
plan
your
of action?
Action Planning: July to
September 2013
Strategies Critical Players Resource requirements
TYING IT ALL UP… 
 SCALOG/CapDev and CDP-ELA
Figure 1.Link between the SCALOG/CapDev Agenda Formulation Process and
the CDP/ELA Process

SCALOG and CapDev Agenda Formulation Process

Step 1. Identify the factors that contribute to the LGU’s
Context performance
Analysis ELA Process
Step 2. Identify key stakeholders and their interests
1 Planning to Plan
Capacity Step 3. Determine the performance goals and objectives
Assessment 2 Prioritizing Issues
Step 4. Assess capacity
3 Consulting with Multi-Stakeholders
Step 5. Prioritize capacity development interventions
CapDev 4 Defining/ Revisiting the LGU Vision and Mission
Step 6. Determine risks and mitigation strategy
Planning
Step 7. Develop the CapDev Agenda 5 Formulating Goals and Objective
Step 8. Integrate the CapDev Agenda in the CDP/ELA 6 Prioritizing Programs, Projects and Capacity Development Needs
Integration Step 9. Manage and sustain the CapDev Agenda 7 Determining Legislative Requirements
implementation
8 Building Commitment

9 Securing Endorsement, Adoption and Approval

10 Moving the ELA to Action

11 Popularizing the ELA

12 Managing and Sustaining ELA Implementation

--modified Chinese proverb